Statement of Changes in Beneficial Ownership (4)
June 02 2020 - 11:36AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Bettis Carr |
2. Issuer Name and Ticker or Trading Symbol
AUDIOEYE INC
[
AEYE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Exec Chrmn/Chrmn of the Board |
(Last)
(First)
(Middle)
C/O AUDIOEYE, INC., 5210 E. WILLIAMS CIRCLE, SUITE 750 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/29/2020 |
(Street)
TUCSON, AZ 85711
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 5/29/2020 | | M | | 80000 | A | $4.00 | 356577 | D | |
Common Stock | 5/29/2020 | | F | | 37080 | D | $8.63 | 319497 | D | |
Common Stock | | | | | | | | 508988 | I | CSB IV US Holdings, LLC (2) |
Common Stock | | | | | | | | 18600 | I | Carr Bettis IRA (3) |
Common Stock | | | | | | | | 54856 | I | J. Carr & Stephanie V. Bettis Revocable Trust, Dated January 1, 2003 (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrants (right to buy) | $4.00 | 5/29/2020 | | M | | | 80000 | 6/2/2015 | 6/2/2020 | Common stock | 80000 | (1) | 0 | D | |
Explanation of Responses: |
(1) | The warrants were awarded for services. |
(2) | Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC. |
(3) | Dr. Bettis is deemed to be the beneficial owner of the Carr Bettis IRA. |
(4) | Dr. Bettis is deemed to be a beneficial owner of the J. Carr & Stephanie V. Bettis Revocable Trust, dated January 1, 2003. |
Remarks: The transactions reported in the above Table 1 Rows 1 and 2 reflect the cashless exercise of warrants. The cashless exercise of the warrants is reported in two lines. The first line of the cashless exercise transaction is coded M in Column 3 of Table 1 and reports in Column 4 the number of shares issuable upon exercise of the warrants had cash been paid to exercise the warrants, together with the exercise price with code A for acquired. The line coded F in Column 3 of Table I relates to the same cashless exercise on the preceding line and reports in Column 4 the number of shares deducted from the total number of shares issuable to pay for the cashless exercise of such warrants with code D for disposal. The number of shares on a net basis actually owned by the Reporting Person after the cashless exercise is set forth in line 2 column 5. The transactions reported in Table II above reflect the disposition of the same warrants whose cashless exercise is disclosed in Table I above. The number of derivative securities owned after the transactions reported in Column 9 of Table II above includes only warrants. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bettis Carr C/O AUDIOEYE, INC. 5210 E. WILLIAMS CIRCLE, SUITE 750 TUCSON, AZ 85711 | X | X | Exec Chrmn/Chrmn of the Board |
|
Signatures
|
/s/ Carr Bettis | | 5/29/2020 |
**Signature of Reporting Person | Date |
AudioEye (NASDAQ:AEYE)
Historical Stock Chart
From Aug 2024 to Sep 2024
AudioEye (NASDAQ:AEYE)
Historical Stock Chart
From Sep 2023 to Sep 2024