0001179110-21-003337.txt : 20210312
0001179110-21-003337.hdr.sgml : 20210312
20210312161355
ACCESSION NUMBER: 0001179110-21-003337
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210311
FILED AS OF DATE: 20210312
DATE AS OF CHANGE: 20210312
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Moradi David
CENTRAL INDEX KEY: 0001658843
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38640
FILM NUMBER: 21737561
MAIL ADDRESS:
STREET 1: 379 WEST BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10021
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sero Capital LLC
CENTRAL INDEX KEY: 0001751296
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38640
FILM NUMBER: 21737560
BUSINESS ADDRESS:
STREET 1: 1333 2ND STREET
STREET 2: 3RD FLOOR
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
BUSINESS PHONE: (212) 404-6677
MAIL ADDRESS:
STREET 1: 1333 2ND STREET
STREET 2: 3RD FLOOR
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AUDIOEYE INC
CENTRAL INDEX KEY: 0001362190
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5210 E. WILLIAMS CIRCLE
STREET 2: SUITE 750
CITY: TUCSON
STATE: AZ
ZIP: 85711
BUSINESS PHONE: 866-331-5324
MAIL ADDRESS:
STREET 1: 5210 E. WILLIAMS CIRCLE
STREET 2: SUITE 750
CITY: TUCSON
STATE: AZ
ZIP: 85711
4
1
edgar.xml
FORM 4 -
X0306
4
2021-03-11
0
0001362190
AUDIOEYE INC
AEYE
0001658843
Moradi David
119 WASHINGTON AVE.
SUITE 403
MIAMI BEACH
FL
33139
1
1
1
0
See Remarks
0001751296
Sero Capital LLC
119 WASHINGTON AVE.
SUITE 403
MIAMI BEACH
FL
33139
1
1
1
0
See Remarks
Common Stock
2021-03-11
4
A
0
50000
0
A
388335
D
Common Stock
2731265
I
Through Sero Capital LLC
Represents the grant of performance-based restricted stock units ("PSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan (the "Plan"), which PSUs will be earned and vest upon the earlier of (i) the Volume Weight Average Price ("VWAP") of AudioEye, Inc.'s (the "Issuer") common stock being in excess of $100 on The Nasdaq Stock Market LLC over 20 consecutive trading days prior to March 11, 2026 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to March 11, 2026, and will be settled promptly after the vesting date.
Securities of the Issuer held directly by David Moradi, including PSUs and other derivative securities that can be settled solely in stock.
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.
David Moradi serves as Interim Chief Executive Officer and Chief Strategy Officer of the Issuer. In addition to the PSUs reported above, on March 11, 2021, David Moradi was granted an additional 50,000 PSUs, which are not included on this Form 4, that will vest upon the Issuer meeting certain revenue targets.
/s/ Amra Hoso, Attorney-in-Fact
2021-03-12
/s/ Amra Hoso, Attorney-in-Fact
2021-03-12