Filing Details
- Accession Number:
- 0001179110-21-005526
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-18 17:38:15
- Reporting Period:
- 2021-05-14
- Accepted Time:
- 2021-05-18 17:38:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1362190 | Audioeye Inc | AEYE | Services-Prepackaged Software (7372) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1586216 | Carr Bettis | C/O Audioeye Inc 5210 E. Williams Circle, Suite 750 Tucson AZ 85711 | Exec Chrmn/Chrmn Of The Board | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-05-14 | 4,480 | $6.25 | 430,804 | No | 4 | M | Indirect | CSB IV US Holdings LLC |
| Common Stock | Disposition | 2021-05-17 | 20,000 | $16.11 | 410,804 | No | 4 | S | Indirect | CSB IV US Holdings LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | CSB IV US Holdings LLC |
| No | 4 | S | Indirect | CSB IV US Holdings LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants (right to buy) | Disposition | 2021-05-14 | 4,480 | $0.00 | 4,480 | $6.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-05-17 | 2021-05-16 | No | 4 | M | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 27,593 | Indirect | J. Carr & Stephanie V. Bettis Revocable Trust, Dated January 1, 2003 |
| Common Stock | 18,600 | Indirect | Carr Bettis IRA |
| Common Stock | 407,314 | Direct |
Footnotes
- Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.
- Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.
- Reflects the weighted average price of 20,000 shares of common stock of AudioEye, Inc. sold in multiple transactions on May 17, 2021 with sale prices ranging from $15.90 to $16.555 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, fullinformation regarding the number of shares sold at each separate price.
- Dr. Bettis is deemed to be a beneficial owner of the J. Carr & Stephanie V. Bettis Revocable Trust, dated January 1, 2003.
- Dr. Bettis is deemed to be the beneficial owner of the Carr Bettis IRA.
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