Amended Statement of Ownership (sc 13g/a)
February 13 2023 - 4:17PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
AudioEye,
Inc.
(Name of Issuer)
Common Stock, par value $0.00001 per share
(Title of Class of Securities)
050734201
(CUSIP Number)
December 31, 2022
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
* |
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 050734201
|
|
|
|
|
|
|
1. |
|
NAME OF REPORTING PERSONS
Sero Capital LLC |
2. |
|
CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☒
|
3. |
|
SEC USE ONLY
|
4. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware |
|
|
|
|
|
|
|
NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
5. |
|
SOLE VOTING POWER
0 |
|
6. |
|
SHARED VOTING POWER
2,857,589 |
|
7. |
|
SOLE DISPOSITIVE POWER
0 |
|
8. |
|
SHARED DISPOSITIVE POWER
2,857,589 |
|
|
|
|
|
|
|
9. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,857,589 |
10. |
|
CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
☐ |
11. |
|
PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9) 25.2% |
12. |
|
TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS) OO |
CUSIP No. 050734201
|
|
|
|
|
|
|
1. |
|
NAME OF REPORTING PERSONS
David Moradi |
2. |
|
CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☒
|
3. |
|
SEC USE ONLY
|
4. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION United States of
America |
|
|
|
|
|
|
|
NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
5. |
|
SOLE VOTING POWER
3,338,958 [1] |
|
6. |
|
SHARED VOTING POWER
0 |
|
7. |
|
SOLE DISPOSITIVE POWER
3,338,958 [1] |
|
8. |
|
SHARED DISPOSITIVE POWER
0 |
|
|
|
|
|
|
|
9. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,338,958 [1] |
10. |
|
CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
☐ |
11. |
|
PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9) 28.7% |
12. |
|
TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS) IN |
[1] |
This number does not include RSUs that have not settled or have not vested and will not settle or vest within
60 days. |
Amendment No. 4 to Schedule 13G
Item 1. |
(a). Name of Issuer: |
AudioEye, Inc. (the Issuer)
(b). |
Address of Issuers Principal Executive Offices: |
5210 East Williams Circle, Suite 750
Tucson, Arizona 85711
Item 2. |
(a). Name of Person Filing: |
Sero Capital LLC
David Moradi
The filing persons named above are collectively referred to herein as the Reporting Persons.
(b). |
Address of Principal Business Office, or if None, Residence: |
Sero Capital LLC
119 Washington Avenue, Suite 403
Miami Beach, FL 33139
David Moradi
119 Washington Avenue, Suite 403
Miami Beach, FL 33139
Sero Capital LLC - Delaware
David Moradi - United States of
America
(d). |
Title of Class of Securities: |
Common Stock, par value $0.00001 per share (Common Stock)
050734201
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) |
Amount beneficially owned: |
Sero Capital LLC - 2,857,589
David Moradi - 3,338,958
Sero Capital LLC 24.8%
David Moradi - 28.7%
Such percentages are based on 11,508,677 shares of the Issuers Common Stock outstanding as of
October 31, 2022, as disclosed in the Issuers Form 10-Q filed with the Securities and Exchange Commission on November 10, 2022 and securities issuable due to each Reporting Persons
respective warrants and convertible securities.
(c) |
Number of shares as to which the person has: |
Sero Capital LLC
|
|
|
|
|
(i) Sole power to vote or to direct the vote |
|
|
0 |
|
|
|
(ii) Shared power to vote or to direct the vote |
|
|
2,857,589 |
|
|
|
(iii) Sole power to dispose or to direct the disposition of |
|
|
0 |
|
|
|
(iv) Shared power to dispose or to direct the disposition of |
|
|
2,857,589 |
|
|
David Moradi |
|
|
|
(i) Sole power to vote or to direct the vote |
|
|
3,338,958 |
|
|
|
(ii) Shared power to vote or to direct the vote |
|
|
0 |
|
|
|
(iii) Sole power to dispose or to direct the disposition of |
|
|
3,338,958 |
|
|
|
(iv) Shared power to dispose or to direct the disposition of |
|
|
0 |
|
All securities reported in this Amendment No. 4 to Schedule 13G were purchased by Mr. Moradi indirectly through Sero
Capital LLC (Sero Capital) and by Mr. Moradi directly in his personal accounts. Mr. Moradi is the sole member of Sero Capital and has sole power to direct the vote and disposition of those shares of Common Stock of the Issuer
held by Sero Capital. Mr. Moradi, as beneficial owner of the shares of Common Stock held directly in his personal accounts, and indirectly by Sero Capital, may direct the vote and disposition of 3,338,958 shares of Common Stock. This number
does not include RSUs that have not settled or have not vested and will not settle or vest within 60 days.
Item 5. |
Ownership of Five Percent or Less of a Class. |
Not Applicable.
Item 6. |
Ownership of More Than Five Percent on Behalf of Another Person. |
Not Applicable.
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the
Parent Holding Company. |
Not Applicable.
Item 8. |
Identification and Classification of Members of the Group. |
Not Applicable.
Item 9. |
Notice of Dissolution of Group. |
Not Applicable.
Not Applicable.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
February 13, 2023 |
(Date) |
|
SERO CAPITAL LLC |
|
/s/ David Moradi |
By: David Moradi |
Title: Managing Member |
|
DAVID MORADI |
|
/s/ David Moradi |
David Moradi |
AudioEye (NASDAQ:AEYE)
Historical Stock Chart
From May 2024 to Jun 2024
AudioEye (NASDAQ:AEYE)
Historical Stock Chart
From Jun 2023 to Jun 2024