Sero Capital LLC 4
4 · AUDIOEYE INC · Filed May 22, 2020
Insider Transaction Report
Form 4
AUDIOEYE INCAEYE
Sero Capital LLC
10% Owner
Transactions
- Award
Common Stock
2020-05-20+11,280→ 195,586 total - Award
Common Stock
2020-05-20+17,857→ 184,306 total
Holdings
- 2,584,598(indirect: By LLC)
Common Stock
Footnotes (4)
- [F1]Securities of AudioEye, Inc. (the "Issuer") held directly by David Moradi.
- [F2]Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, as amended and restated on May 18, 2020 (the "Plan"), which RSUs will vest on November 8, 2020, subject to the Reporting Person's continuing service with the Issuer through such date, and will be settled promptly after the vesting date but no later than March 15, 2021.
- [F3]Reflects the grant of RSUs under the Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on May 20, 2021), subject to the Reporting Person's continuing service with the Issuer through such date, and will be settled on the earlier of (i) the 7th anniversary of the Grant Date (i.e., on May 20, 2027) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).
- [F4]Securities of the Issuer held directly by Sero Capital LLC ("Sero Capital"). David Moradi is the Managing Partner of Sero Capital and may be deemed to direct all voting and investment decisions made by Sero Capital.