Carr Bettis - May 14, 2021 Form 4 Insider Report for AUDIOEYE INC (AEYE)

Role
Exec Chrmn/Chrmn of the Board, Director
Signature
/s/ James Spolar, Attorney-in-Fact
Stock symbol
AEYE
Transactions as of
May 14, 2021
Transactions value $
-$294,196
Form type
4
Date filed
5/18/2021, 05:38 PM
Next filing
Jun 25, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AEYE Common Stock Options Exercise $28K +4.48K +1.05% $6.25 431K May 14, 2021 CSB IV US Holdings LLC F1
transaction AEYE Common Stock Sale -$322K -20K -4.64% $16.11 411K May 17, 2021 CSB IV US Holdings LLC F1, F2, F3
holding AEYE Common Stock 27.6K May 14, 2021 J. Carr & Stephanie V. Bettis Revocable Trust, Dated January 1, 2003 F4
holding AEYE Common Stock 18.6K May 14, 2021 Carr Bettis IRA F5
holding AEYE Common Stock 407K May 14, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AEYE Warrants (right to buy) Options Exercise $0 -4.48K -100% $0.00* 0 May 14, 2021 Common Stock 4.48K $6.25 CSB IV US Holdings LLC F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.
F2 Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.
F3 Reflects the weighted average price of 20,000 shares of common stock of AudioEye, Inc. sold in multiple transactions on May 17, 2021 with sale prices ranging from $15.90 to $16.555 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, fullinformation regarding the number of shares sold at each separate price.
F4 Dr. Bettis is deemed to be a beneficial owner of the J. Carr & Stephanie V. Bettis Revocable Trust, dated January 1, 2003.
F5 Dr. Bettis is deemed to be the beneficial owner of the Carr Bettis IRA.