Statement of Changes in Beneficial Ownership (4)
October 26 2020 - 06:04AM
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
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * COELHO ANTHONY
L |
2. Issuer Name and Ticker or Trading
Symbol AUDIOEYE INC [ AEYE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
C/O AUDIOEYE, INC., 5210 E. WILLIAMS CIRCLE, SUITE
750 |
3. Date of Earliest Transaction (MM/DD/YYYY)
10/9/2020
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(Street)
TUCSON, AZ 85711
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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
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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 |
10/9/2020 |
|
M(1) |
|
196 |
A |
$0 |
60993 |
D |
|
Common Stock |
10/22/2020 |
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M |
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30000 |
A |
$0 |
90993 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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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 |
Exercise of Option (right to
buy) |
$1.025 |
10/22/2020 |
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M |
|
|
30000 |
10/25/2016 |
10/25/2020 |
Common Stock |
30000 |
$0 |
0 |
D |
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Explanation of
Responses: |
(1) |
Reflects the grant of
restricted stock units ("RSUs") under the AudioEye, Inc. 2019
Equity Incentive Plan (as amended), which RSUs vested on the Grant
Date and will be settled on the earlier of (i) the third
anniversary of the Grant Date and (ii) immediately prior to a
"change in control event" within the meaning of Treasury Regulation
Section 1.409A-3(i)(5). |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
COELHO ANTHONY L
C/O AUDIOEYE, INC.
5210 E. WILLIAMS CIRCLE, SUITE 750
TUCSON, AZ 85711 |
X |
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Signatures
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/s/ Anthony L. Coelho |
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10/26/2020 |
**Signature of
Reporting Person |
Date |