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