0001179110-21-007048.txt : 20210625
0001179110-21-007048.hdr.sgml : 20210625
20210625172404
ACCESSION NUMBER: 0001179110-21-007048
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210524
FILED AS OF DATE: 20210625
DATE AS OF CHANGE: 20210625
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: 211049063
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: 211049062
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
2021-05-24
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
2021-05-24
4
C
0
153888
A
542223
D
Common Stock
2731265
I
Through Sero Capital LLC
Series A Convertible Preferred Stock
2021-05-24
4
C
0
50000
0
D
Common Stock
153888
0
D
Each share of Series A Convertible Preferred Stock is convertible into that number of shares of common stock determined by dividing $10 plus any accrued dividends by the conversion price of $4.385.
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.
The shares of Series A Convertible Preferred Stock were immediately convertible upon issuance and do not expire.
David Moradi serves as Interim Chief Executive Officer and Chief Strategy Officer of the Issuer.
/s/ James Spolar, Attorney-in-Fact
2021-06-25
/s/ James Spolar, Attorney-in-Fact
2021-06-25