SEC Form 4 · accession 0001144204-18-066794
AUDIOEYE INC · AEYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony L Coelho
Director
Period of report
Dec 31, 2018
Accepted (ET)
Dec 31, 2018 · 5:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001362190
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 31, 2018 | A | 11,280 | — | A | 33,880 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F2 | $1.025 | holding | — | — | — | — | Oct 23, 2020 | Common Stock | 30,000 | 30,000 | D |
| Stock Options (right to buy)F3 | $8.75 | holding | — | — | — | — | Jun 11, 2019 | Common Stock | 10,000 | 10,000 | D |
| Stock Options (right to buy)F4 | $4.425 | holding | — | — | — | — | May 12, 2021 | Common Stock | 28,000 | 28,000 | D |
Explanation of responses
- F1The reported transaction constitutes a grant of restricted stock units, which were granted under the Issuer's Stock Incentive Plan, subject to vesting and settlement conditions.
- F2The stock option vests as follows: 50% immediate and 12.5% per quarter.
- F3The stock option vests as follows: 20% on grant; 20% every 90 days thereafter.
- F4The stock option vests as follows: 50% immediate; 50% quarterly over succeeding 12 months.