Statement of Changes in Beneficial Ownership (4)
August 16 2019 - 7:53PM
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).
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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
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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
*
ZYNGIER ALEXANDRE
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2. Issuer Name
and
Ticker or Trading Symbol
AUDIOEYE INC
[
AEYE
]
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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
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/14/2019
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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
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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40760
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D
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Common Stock
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8/15/2019
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X
(1)
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60000
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A
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$1.63
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123430
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I
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Equity Trust Custodian, FBO Alexandre Zyngier IRA
(2)
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Common Stock
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10400
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I
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HZ Investments Family LP
(3)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Warrants (right to buy)
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$2.50
(4)
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8/14/2019
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J
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40000
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10/16/2015
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10/16/2020
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Common Stock
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40000
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$0
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0
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I
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Equity Trust Custodian, FBO Alexandre Zyngier IRA
(2)
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Warrants (right to buy)
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$2.50
(4)
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8/14/2019
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J
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20000
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9/26/2018
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9/26/2023
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Common Stock
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20000
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$0
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0
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I
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Equity Trust Custodian, FBO Alexandre Zyngier IRA
(2)
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Warrants (right to buy)
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$1.63
(4)
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8/14/2019
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J
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40000
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10/16/2015
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10/16/2020
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Common Stock
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40000
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$0
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40000
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I
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Equity Trust Custodian, FBO Alexandre Zyngier IRA
(2)
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Warrants (right to buy)
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$1.63
(4)
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8/14/2019
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J
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20000
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9/26/2018
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9/26/2023
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Common Stock
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20000
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$0
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20000
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I
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Equity Trust Custodian, FBO Alexandre Zyngier IRA
(2)
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Warrants (right to buy)
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$1.63
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8/15/2019
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X
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40000
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10/16/2015
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10/16/2020
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Common Stock
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40000
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$0
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0
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I
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Equity Trust Custodian, FBO Alexandre Zyngier IRA
(2)
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Warrants (right to buy)
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$1.63
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8/15/2019
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X
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20000
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9/26/2018
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9/26/2023
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Common Stock
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20000
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$0
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0
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I
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Equity Trust Custodian, FBO Alexandre Zyngier IRA
(2)
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Explanation of Responses:
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(1)
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Reflects the exercise of warrants to purchase shares of the Issuer's common stock. See Footnote 4 below.
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(2)
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Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.
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(3)
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Mr. Zyngier is deemed the beneficial owner of HZ Investments Family LP.
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(4)
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On August 14, 2019, the Issuer and certain holders of outstanding warrants to purchase the Issuer's common stock, including Equity Trust Custodian, FBO Alexandre Zyngier IRA, entered into an amendment pursuant to which the exercise price of such warrants was adjusted to $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price was paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ZYNGIER ALEXANDRE
C/O AUDIOEYE, INC.
5210 E. WILLIAMS CIRCLE, SUITE 750
TUCSON, AZ 85711
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X
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Signatures
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/s/ Alexandre Zyngier
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8/16/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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