SEC Form 4 · accession 0001144204-19-011685
AUDIOEYE INC · AEYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean D. Bradley
Officer — President and CSO
Period of report
Feb 27, 2019
Accepted (ET)
Mar 1, 2019 · 5:23 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 Stock | Feb 27, 2019 | M | 1,989 | $4.475 | A | 16,777 | D | |
| Common StockF2 | Feb 27, 2019 | F | 812 | $10.966 | D | 15,965 | D | |
| Common StockF3 | holding | — | — | — | 173,864 | I | Banyon Tree LLC |
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) | $4.475 | Feb 27, 2019 | M | 1,989 | D | Jan 4, 2016 | Apr 15, 2019 | Common Stock | 1,989 | 0 | D |
Explanation of responses
- F1Reflects the exercise of stock options.
- F2Represents shares withheld by the Issuer upon the exercise of stock options to cover the exercise price of the options based on the average closing price per share of the Issuer's common stock for the five trading days immediately preceding the date of exercise.
- F3Mr. Bradley is deemed the beneficial owner of Banyon Tree LLC.