AEYE

SEC source: 0001179110-21-008532 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,590

F2 · shares: Represents shares withheld to cover withholding taxes associated with the issuance of 2,424 shares reported above.

SEC source: 0001179110-21-008532 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,180

F1 · shares: Represents shares of common stock issued to Dr. Bettis as the stock portion of his base salary, as provided in his amended employment agreement.

SEC source: 0001179110-21-008341 · edgar.xml · nonDerivative · entry 2

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sero Capital LLC

Disclosed balance after: 2,808,231

F2 · price: Reflects the weighted average price of 16,734 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 20, 2021 with purchase prices ranging from $11.01 to $11.99 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, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: 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.

SEC source: 0001179110-21-008341 · edgar.xml · nonDerivative · entry 1

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sero Capital LLC

Disclosed balance after: 2,791,497

F1 · price: Reflects the weighted average price of 10,000 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 19, 2021 with purchase prices ranging from $11.50 to $11.70 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, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: 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.

SEC source: 0001179110-21-008280 · edgar.xml · nonDerivative · entry 5

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sero Capital LLC

Disclosed balance after: 2,781,497

F5 · price: Reflects the weighted average price of 16,600 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 18, 2021 with purchase prices ranging from $10.63 to $10.98 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, full information regarding the number of shares purchased at each separate price.

F6 · ownership.nature: 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.

SEC source: 0001179110-21-008266 · edgar.xml · nonDerivative · entry 1

Varacalli Dominic Peter · CIK 0001822302 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,768

SEC source: 0001179110-21-008280 · edgar.xml · nonDerivative · entry 4

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sero Capital LLC

Disclosed balance after: 2,764,897

F4 · price: Reflects the weighted average price of 200 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 17, 2021 with purchase prices ranging from $11.42 to $11.49 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, full information regarding the number of shares purchased at each separate price.

F6 · ownership.nature: 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.

SEC source: 0001179110-21-008280 · edgar.xml · nonDerivative · entry 3

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sero Capital LLC

Disclosed balance after: 2,764,697

F3 · price: Reflects the weighted average price of 23,432 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 17, 2021 with purchase prices ranging from $10.30 to $11.29 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, full information regarding the number of shares purchased at each separate price.

F6 · ownership.nature: 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.

SEC source: 0001179110-21-008264 · edgar.xml · nonDerivative · entry 2

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,476

F2 · price: Reflects the weighted average price of 7,000 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 17, 2021 with purchase prices ranging from $10.50 to $11.00 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, full information regarding the number of shares purchased at each separate price.

SEC source: 0001179110-21-008263 · edgar.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,729

F1 · price: Reflects the weighted average price of 23,000 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 16, 2021 with purchase prices ranging from $10.70 to $11.685 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, full information regarding the number of shares purchased at each separate price.

SEC source: 0001179110-21-008280 · edgar.xml · nonDerivative · entry 2

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sero Capital LLC

Disclosed balance after: 2,741,265

F2 · price: Reflects the weighted average price of 5,019 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 16, 2021 with purchase prices ranging from $10.90 to $11.58 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, full information regarding the number of shares purchased at each separate price.

F6 · ownership.nature: 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.

SEC source: 0001179110-21-008280 · edgar.xml · nonDerivative · entry 1

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sero Capital LLC

Disclosed balance after: 2,736,246

F1 · price: Reflects the weighted average price of 4,981 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 16, 2021 with purchase prices ranging from $9.34 to $10.30 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, full information regarding the number of shares purchased at each separate price.

F6 · ownership.nature: 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.

SEC source: 0001179110-21-008264 · edgar.xml · nonDerivative · entry 1

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,476

F1 · price: Reflects the weighted average price of 3,030 shares of common stock of AudioEye, Inc. purchased in multiple transactions on August 16, 2021 with purchase prices ranging from $10.22 to $10.35 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, full information regarding the number of shares purchased at each separate price.

SEC source: 0001179110-21-008085 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 429,175

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F4 · price: Reflects the weighted average price of 300 shares of common stock of AudioEye, Inc. sold in multiple transactions on August 9, 2021 with sales prices ranging from $14.46 to $14.52 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, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-008085 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 429,475

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F2 · price: Reflects the weighted average price of 9,056 shares of common stock of AudioEye, Inc. sold in multiple transactions on August 9, 2021 with sales prices ranging from $13.46 to $14.4175 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, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-008039 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 438,531

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F4 · price: Reflects the weighted average price of 4,800 shares of common stock of AudioEye, Inc. sold in multiple transactions on August 6, 2021 with sales prices ranging from $13.25 to $13.95 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, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-008039 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 443,331

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F2 · price: Reflects the weighted average price of 5,844 shares of common stock of AudioEye, Inc. sold in multiple transactions on August 5, 2021 with sales prices ranging from $12.96 to $13.525 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, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-007875 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,756

F2 · shares: Represents shares withheld to cover withholding taxes associated with the issuance of 2,078 shares reported above.

SEC source: 0001179110-21-007875 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,262

F1 · shares: Represents shares of common stock issued to Dr. Bettis as the stock portion of his base salary, as provided in his amended employment agreement.

SEC source: 0001179110-21-007452 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 449,175

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F2 · price: Reflects the weighted average price of 10,000 shares of common stock of AudioEye, Inc. sold in multiple transactions on July 8, 2021 with sales prices ranging from $15.81 to $16.53 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, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-007332 · edgar.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,786

F1 · shares: The securities relate to the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan, which RSUs vested on the grant date and will be settled on the earlier of (i) the third anniversary of the grant date, (ii) immediately prior to the closing of a change in control, but in no case later than 90 days following the change in control, and (iii) the calendar year following the year of death, with payment being made in no case later than the end of the year following the year of death.

SEC source: 0001179110-21-007331 · edgar.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,729

F1 · shares: The securities relate to the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan, which RSUs vested on the grant date and will be settled on the earlier of (i) the third anniversary of the grant date, (ii) immediately prior to the closing of a change in control, but in no case later than 90 days following the change in control, and (iii) the calendar year following the year of death, with payment being made in no case later than the end of the year following the year of death.

SEC source: 0001179110-21-007329 · edgar.xml · nonDerivative · entry 1

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,446

F1 · shares: The securities relate to the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan, which RSUs vested on the grant date and will be settled on the earlier of (i) the third anniversary of the grant date, (ii) immediately prior to the closing of a change in control, but in no case later than 90 days following the change in control, and (iii) the calendar year following the year of death, with payment being made in no case later than the end of the year following the year of death.

SEC source: 0001179110-21-007328 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,184

F2 · shares: Represents shares withheld to cover withholding taxes associated with the issuance of 1,758 shares reported above.

SEC source: 0001179110-21-007328 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,612

F1 · shares: Represents shares of common stock issued to Dr. Bettis as the stock portion of his base salary, as provided in his amended employment agreement.

SEC source: 0001179110-21-006995 · edgar.xml · nonDerivative · entry 2

Georgevich Kelly · CIK 0001869073 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,852

F2 · shares: Represents performance stock units ("PSUs") granted under the AudioEye, Inc. 2020 Equity Incentive Plan. Of such PSUs, (i) 5,112 will vest on December 31, 2021, (ii) 9,617 will vest based on the satisfaction of performance conditions for 2022, (iii) 9,617 will vest based on the satisfaction of performance conditions for 2023, and (iv) 4,506 will vest based on the satisfaction of performance conditions for 2024, in each case subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001179110-21-006995 · edgar.xml · nonDerivative · entry 1

Georgevich Kelly · CIK 0001869073 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,852

F1 · shares: Represents restricted stock units granted under the AudioEye, Inc. 2020 Equity Incentive Plan, which vest over a three-year period as follows: one-third shall vest on the first anniversary of the grant date and the remaining two-thirds shall vest quarterly over the next two years, in equal installments, starting at the end of the first quarter occurring after the first anniversary of the grant date, provided that the reporting person is continuously employed on each of those vesting dates.

SEC source: 0001179110-21-006930 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 428,397

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F3 · price: Reflects the weighted average price of 1,300 shares of common stock of AudioEye, Inc. sold in multiple transactions on June 16, 2021 with sale prices ranging from $17.67 to $17.97 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, full information regarding the number of shares sold at each separate price.

F4 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-006930 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 429,697

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F2 · price: Reflects the weighted average price of 8,700 shares of common stock of AudioEye, Inc. sold in multiple transactions on June 16, 2021 with sale prices ranging from $16.65 to $17.62 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, full information regarding the number of shares sold at each separate price.

F4 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-006259 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,854

F2 · shares: Represents shares withheld to cover withholding taxes associated with the issuance of 714 shares reported above.

SEC source: 0001179110-21-006259 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,028

F1 · shares: Represents shares of common stock issued to Dr. Bettis as the stock portion of his base salary, as provided in his amended employment agreement, pro rated for month of May.

SEC source: 0001179110-21-007048 · edgar.xml · derivative · entry 3

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 153,888 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The shares of Series A Convertible Preferred Stock were immediately convertible upon issuance and do not expire.

F3 · derivative.expiration_date: The shares of Series A Convertible Preferred Stock were immediately convertible upon issuance and do not expire.

SEC source: 0001179110-21-007048 · edgar.xml · nonDerivative · entry 1

Moradi David · CIK 0001658843 · Director · See Remarks · 10% owner

Sero Capital LLC · CIK 0001751296 · Director · See Remarks · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 542,223

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001179110-21-007047 · edgar.xml · derivative · entry 4

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 0

Underlying: Common Stock · 30,778 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F4 · derivative.exercise_date: The shares of Series A Convertible Preferred Stock were immediately convertible upon issuance and do not expire.

F4 · derivative.expiration_date: The shares of Series A Convertible Preferred Stock were immediately convertible upon issuance and do not expire.

SEC source: 0001179110-21-007047 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 459,175

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F5 · balance_after: All amounts reported in Column 5 reflect amounts held as of the date of the filing of this report.

F2 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC. Shares shown as held by CSB IV US Holdings LLC include shares previously held by the J. Carr & Stephanie V. Bettis Revocable Trust, dated January 1, 2003, which trust was revoked with respect to such shares and such shares were transferred to CSB IV US Holdings LLC.

SEC source: 0001179110-21-005864 · edgar.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,617

F1 · shares: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan, which RSUs will vest on the earlier of (a) one year following the date of the grant or (b) immediately prior to the next annual meeting of stockholders following the date of grant, provided the director's service has not terminated prior to such date. Any of these vested RSUs will be settled on the earlier of (i) the 7th anniversary of the grant date, (ii) immediately prior to the closing of a change in control, but in no case later than 90 days following the change in control, or (iii) the calendar year following the year of death, with payment made no later than the end of the year following the year of death.

SEC source: 0001179110-21-005862 · edgar.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,005

F1 · shares: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan, which RSUs will vest on the earlier of (a) one year following the date of the grant or (b) immediately prior to the next annual meeting of stockholders following the date of grant, provided the director's service has not terminated prior to such date. Any of these vested RSUs will be settled on the earlier of (i) the 7th anniversary of the grant date, (ii) immediately prior to the closing of a change in control, but in no case later than 90 days following the change in control, or (iii) the calendar year following the year of death, with payment made no later than the end of the year following the year of death.

SEC source: 0001179110-21-005863 · edgar.xml · nonDerivative · entry 1

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,889

F1 · shares: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan, which RSUs will vest on the earlier of (a) one year following the date of the grant or (b) immediately prior to the next annual meeting of stockholders following the date of grant, provided the director's service has not terminated prior to such date. Any of these vested RSUs will be settled on the earlier of (i) the 7th anniversary of the grant date, (ii) immediately prior to the closing of a change in control, but in no case later than 90 days following the change in control, or (iii) the calendar year following the year of death, with payment made no later than the end of the year following the year of death.

SEC source: 0001179110-21-005817 · edgar.xml · nonDerivative · entry 1

Varacalli Dominic Peter · CIK 0001822302 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,842

F1 · shares: Represents shares withheld to cover withholding taxes associated with the vesting of 6,667 restricted stock units.

SEC source: 0001179110-21-005526 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 410,804

F2 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.

F3 · price: 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.

F1 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-005526 · edgar.xml · derivative · entry 6

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 0

Underlying: Common Stock · 4,480 shares

Expires 2021-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-005526 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 430,804

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-005170 · edgar.xml · derivative · entry 3

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,000 shares

Expires 2021-05-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Fully vested.

SEC source: 0001179110-21-005170 · edgar.xml · nonDerivative · entry 2

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,789

F1 · shares: Represents shares withheld to cover payment of the exercise price of the stock options.

SEC source: 0001179110-21-005170 · edgar.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,022

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-21-004626 · edgar.xml · nonDerivative · entry 1

Varacalli Dominic Peter · CIK 0001822302 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,000

F1 · shares: Represents the vesting of 4,000 shares related to performance stock units previously granted to the reporting person.

SEC source: 0001179110-21-004577 · edgar.xml · nonDerivative · entry 3

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 426,324

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2021.

F5 · price: Reflects the weighted average price of 1,496 shares of common stock of AudioEye, Inc. sold in multiple transactions on April 14, 2021 with sale prices ranging from $26.95 to $27.18 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, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-004577 · edgar.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 427,820

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2021.

F4 · price: Reflects the weighted average price of 6,460 shares of common stock of AudioEye, Inc. sold in multiple transactions on April 14, 2021 with sale prices ranging from $25.95 to $26.94 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, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-004577 · edgar.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 434,280

F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2021.

F2 · price: Reflects the weighted average price of 12,044 shares of common stock of AudioEye, Inc. sold in multiple transactions on April 14, 2021 with sale prices ranging from $24.95 to$25.93 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.

F3 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001179110-21-004455 · edgar.xml · derivative · entry 5

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings LLC

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2021-04-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.