AEYE

SEC source: 0001179110-21-004455 · 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: 446,324

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: 0001179110-21-004201 · edgar.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,294

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: 0001179110-21-004199 · edgar.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,022

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: 0001179110-21-004200 · edgar.xml · nonDerivative · entry 1

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,673

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: 0001179110-21-003685 · 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: 442,324

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

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

SEC source: 0001179110-21-003685 · 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: 442,526

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 35,996 shares of common stock of AudioEye, Inc. sold in multiple transactions on March 17, 2021 with sale prices ranging from $26.63 to $27.57 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: 0001179110-21-003685 · 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: 478,522

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 14,206 shares of common stock of AudioEye, Inc. sold in multiple transactions on March 17, 2021 with sale prices ranging from $25.62 to $26.60 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: 0001179110-21-003337 · 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: 388,335

F1 · shares: Represents the grant of performance-based restricted stock units ("PSUs") under the AudioEye, Inc. 2020 Equity Incentive Plan (the "Plan"), which PSUs will be earned and vest upon the earlier of (i) the Volume Weight Average Price ("VWAP") of AudioEye, Inc.'s (the "Issuer") common stock being in excess of $100 on The Nasdaq Stock Market LLC over 20 consecutive trading days prior to March 11, 2026 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to March 11, 2026, and will be settled promptly after the vesting date.

F2 · balance_after: Securities of the Issuer held directly by David Moradi, including PSUs and other derivative securities that can be settled solely in stock.

SEC source: 0001179110-21-002071 · edgar.xml · derivative · entry 5

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

Moradi David · CIK 0001658843 · 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 · 4,000 shares

Expires 2021-04-19

F5 · price: Pursuant to Instruction 4(c)(iii), this column is left blank.

SEC source: 0001179110-21-002071 · edgar.xml · nonDerivative · entry 3

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

Moradi David · CIK 0001658843 · 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: 338,335

F3 · kind: On February 18, 2021, the reporting person exercised a warrant to purchase 4,000 shares of AudioeEye, Inc. common stock for $6.25 a share. The reporting person paid the exercise priceon a cashless basis, resulting in AudioeEye, Inc.'s withholding of 600 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 3,400 shares.

F2 · balance_after: Securities of the Issuer held directly by David Moradi.

SEC source: 0001179110-21-002071 · edgar.xml · nonDerivative · entry 2

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

Moradi David · CIK 0001658843 · 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: 338,935

F2 · balance_after: Securities of the Issuer held directly by David Moradi.

SEC source: 0001179110-21-002071 · edgar.xml · nonDerivative · entry 1

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

Moradi David · CIK 0001658843 · 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: 334,935

F1 · shares: Number of Shares withheld to cover withholding taxes associated with with the vesting of 55,000 shares of common stock subject to a performance share award previously granted to David Moradi.

F2 · balance_after: Securities of the Issuer held directly by David Moradi.

SEC source: 0001179110-21-000660 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2021-01-15

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.

F5 · derivative.exercise_date: Fully vested.

SEC source: 0001179110-21-000660 · 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: 406,474

F1 · shares: Represents the number of already-owned shares delivered by the reporting person to pay the exercise price of the option exercise reported herein.

SEC source: 0001179110-21-000660 · 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: 409,497

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: 0001179110-21-000130 · edgar.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,564

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: 0001179110-21-000128 · edgar.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,570

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: 0001179110-21-000129 · edgar.xml · nonDerivative · entry 1

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,325

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: 0001104659-20-117940 · tm2034140d1_4.xml · derivative · entry 3

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2020-10-25

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: 0001104659-20-117940 · tm2034140d1_4.xml · nonDerivative · entry 2

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,993

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: 0001104659-20-117940 · tm2034140d1_4.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,993

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 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended), which RSUs vested on the Grant Date and will be settled on the earlier of (i) the third anniversary of the Grant Date and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-111830 · tm2032333-2_4.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,632

F1 · kind: The securities relate to the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended), which RSUs vested on the Grant Date and will be settled on the earlier of (i) the third anniversary of the Grant Date and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-111856 · tm2032333-1_4.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,797

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended), which RSUs vested on the Grant Date and will be settled on the earlier of (i) the third anniversary of the Grant Date and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-111831 · tm2032333-3_4.xml · nonDerivative · entry 1

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,881

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended), which RSUs vested on the Grant Date and will be settled on the earlier of (i) the third anniversary of the Grant Date and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-108324 · tm2024570-1_4.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: 329,497

F1 · kind: The securities are restricted stock units relating to 10,000 shares of common stock and were issued under AudioEye 2019 Incentive Plan. The restricted stock units will vest on the date of the next annual meeting of stockholders provided Dr. Bettis' service as a director has not terminated prior to such date. and will settle promptly thereafter.

SEC source: 0001104659-20-108328 · tm2031729-3_4.xml · nonDerivative · entry 1

Varacalli Dominic Peter · CIK 0001822302 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

F1 · kind: The securities are restricted stock units relating to 15,000 shares of common stock ("RSUs") granted under the AudioEye 2019 Incentive Plan as amended. The RSUs will vest in three equal installments on each of the first three anniversaries of the Grant Date, subject to continuous service with the Company on each vesting date, and will be settled promptly after vesting.

SEC source: 0000899243-20-023323 · doc4.xml · nonDerivative · entry 3

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

Moradi David · CIK 0001658843 · 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: 350,586

F5 · kind: Reflects the grant of PSAs under the Plan, which PSAs will vest upon the earlier of (i) the VWAP of the Issuer's common stock being in excess of $100 on NASDAQ over 20 Consecutive Trading Days prior to August 20, 2025 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to August 20, 2025, and will be settled promptly after the vesting date.

F5 · price: Reflects the grant of PSAs under the Plan, which PSAs will vest upon the earlier of (i) the VWAP of the Issuer's common stock being in excess of $100 on NASDAQ over 20 Consecutive Trading Days prior to August 20, 2025 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to August 20, 2025, and will be settled promptly after the vesting date.

F2 · balance_after: In addition to the shares reported herein, this reflects 40,417 previously granted restricted stock units ("RSUs") under the Plan, of which (i) 11,280 RSUs will vest on December 6, 2020, subject to David Moradi's continuing service with the Issuer through such date, and will be settled on the earlier of (A) December 6, 2026 and (B) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5), (ii) 17,857 RSUs will vest on November 8, 2020, subject to David Moradi's continuing service with the Issuer through such date, and will be settled promptly after the vesting date but no later than March 15, 2021, and (iii) 11,280 RSUs will vest on May 20, 2021, subject to David Moradi's continuing service with the Issuer through such date, and will be settled on the earlier of (X) May 20, 2027 and (Y) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

F3 · ownership.direct: Securities of the Issuer held directly by David Moradi.

SEC source: 0000899243-20-023323 · doc4.xml · nonDerivative · entry 2

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

Moradi David · CIK 0001658843 · 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: 300,586

F4 · kind: Reflects the grant of PSAs under the Plan, which PSAs will vest upon the earlier of (i) the VWAP of the Issuer's common stock being in excess of $50 on NASDAQ over 20 Consecutive Trading Days prior to August 20, 2025 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to August 20, 2025, and will be settled promptly after the vesting date.

F4 · price: Reflects the grant of PSAs under the Plan, which PSAs will vest upon the earlier of (i) the VWAP of the Issuer's common stock being in excess of $50 on NASDAQ over 20 Consecutive Trading Days prior to August 20, 2025 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to August 20, 2025, and will be settled promptly after the vesting date.

F2 · balance_after: In addition to the shares reported herein, this reflects 40,417 previously granted restricted stock units ("RSUs") under the Plan, of which (i) 11,280 RSUs will vest on December 6, 2020, subject to David Moradi's continuing service with the Issuer through such date, and will be settled on the earlier of (A) December 6, 2026 and (B) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5), (ii) 17,857 RSUs will vest on November 8, 2020, subject to David Moradi's continuing service with the Issuer through such date, and will be settled promptly after the vesting date but no later than March 15, 2021, and (iii) 11,280 RSUs will vest on May 20, 2021, subject to David Moradi's continuing service with the Issuer through such date, and will be settled on the earlier of (X) May 20, 2027 and (Y) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

F3 · ownership.direct: Securities of the Issuer held directly by David Moradi.

SEC source: 0000899243-20-023323 · doc4.xml · nonDerivative · entry 1

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

Moradi David · CIK 0001658843 · 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: 250,586

F1 · kind: Reflects the grant of performance share awards ("PSAs") under the AudioEye, Inc. 2019 Equity Incentive Plan, as amended from time to time (the "Plan"), which PSAs will vest upon the earlier of (i) the Volume Weight Average Price ("VWAP") of AudioEye, Inc.'s (the "Issuer") common stock being in excess of $25 on The Nasdaq Stock Market LLC ("NASDAQ") over 20 Consecutive Trading Days prior to August 20, 2025 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to August 20, 2025, and will be settled promptly after the vesting date.

F1 · price: Reflects the grant of performance share awards ("PSAs") under the AudioEye, Inc. 2019 Equity Incentive Plan, as amended from time to time (the "Plan"), which PSAs will vest upon the earlier of (i) the Volume Weight Average Price ("VWAP") of AudioEye, Inc.'s (the "Issuer") common stock being in excess of $25 on The Nasdaq Stock Market LLC ("NASDAQ") over 20 Consecutive Trading Days prior to August 20, 2025 while David Moradi is serving as Interim Chief Executive Officer or Chief Strategic Officer of the Issuer or (ii) the termination of David Moradi's employment with the Issuer by the Issuer without cause prior to August 20, 2025, and will be settled promptly after the vesting date.

F2 · balance_after: In addition to the shares reported herein, this reflects 40,417 previously granted restricted stock units ("RSUs") under the Plan, of which (i) 11,280 RSUs will vest on December 6, 2020, subject to David Moradi's continuing service with the Issuer through such date, and will be settled on the earlier of (A) December 6, 2026 and (B) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5), (ii) 17,857 RSUs will vest on November 8, 2020, subject to David Moradi's continuing service with the Issuer through such date, and will be settled promptly after the vesting date but no later than March 15, 2021, and (iii) 11,280 RSUs will vest on May 20, 2021, subject to David Moradi's continuing service with the Issuer through such date, and will be settled on the earlier of (X) May 20, 2027 and (Y) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

F3 · ownership.direct: Securities of the Issuer held directly by David Moradi.

SEC source: 0001104659-20-098073 · tm2029298d4_4.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,260

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020), which RSUs will vest on the first anniversary of the Grant Date, subject to the Reporting Person's continuing service with the Issuer through such date, and, if vested, will be settled on the earlier of (i) the 7th anniversary of the Grant Date and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-098072 · tm2029298d3_4.xml · nonDerivative · entry 1

Lehmann Marc · CIK 0001498168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,228

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020), which RSUs will vest on the first anniversary of the Grant Date, subject to the Reporting Person's continuing service with the Issuer through such date, and, if vested, will be settled on the earlier of (i) the 7th anniversary of the Grant Date and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0000899243-20-022371 · doc4.xml · derivative · entry 3

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

Moradi David · CIK 0001658843 · 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: 0

Underlying: Common Stock · 146,667 shares

Expires 2020-08-14

F3 · price: Pursuant to Instruction 4(c)(iii), this column is left blank.

F1 · ownership.nature: Securities of AudioEye, Inc. (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: 0000899243-20-022371 · doc4.xml · nonDerivative · entry 1

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

Moradi David · CIK 0001658843 · 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: 2,731,265

F1 · ownership.nature: Securities of AudioEye, Inc. (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: 0001104659-20-082762 · tm2024570-2_4.xml · nonDerivative · entry 1

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · HZ Investments Family LP

Disclosed balance after: 26,660

F1 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of HZ Investments Family LP.

SEC source: 0001104659-20-082756 · tm2024570-1_4.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · CSB IV US Holdings, LLC

Disclosed balance after: 492,728

F1 · kind: The sale was a private sale to another member of the board of AudioEye, Inc.

F2 · ownership.nature: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.

SEC source: 0001104659-20-068762 · tm2021551-1_4.xml · derivative · entry 6

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 80,000 shares

Expires 2020-06-02

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: The warrants were awarded for services.

SEC source: 0001104659-20-068762 · tm2021551-1_4.xml · nonDerivative · entry 2

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,497

SEC source: 0001104659-20-068762 · tm2021551-1_4.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,577

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: 0001104659-20-066564 · tm2021154-1_4.xml · derivative · entry 4

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires 2021-01-15

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: The stock option vested as follows: subject to performance schedule and determined at the end of each calendar year.

SEC source: 0001104659-20-066564 · tm2021154-1_4.xml · nonDerivative · entry 2

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,641

SEC source: 0001104659-20-066564 · tm2021154-1_4.xml · nonDerivative · entry 1

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,021

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: 0001104659-20-065504 · tm2020814-2_4.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,560

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020), which RSUs will vest on the first anniversary of the Grant Date (i.e., on May 20, 2021), subject to the Reporting Person's continuing service with the Issuer through such date, and, if vested, will be settled on the earlier of (i) the 7th anniversary of the Grant Date (i.e., on May 20, 2027) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-065503 · tm2020814-1_4.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,144

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020), which RSUs will vest on the first anniversary of the Grant Date (i.e., on May 20, 2021), subject to the Reporting Person's continuing service with the Issuer through such date, and, if vested, will be settled on the earlier of (i) the 7th anniversary of the Grant Date (i.e., on May 20, 2027) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-065506 · tm2020814-4_4.xml · nonDerivative · entry 1

Thompson Heath · CIK 0001807474 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,766

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020). The RSUs will vest in three approximately equal installments on each of the first three anniversaries of the grant date, subject to the Reporting Person's continuous service with the Issuer through each vesting date. The RSUs, if vested, will be settled promptly following each vesting date, and in any event no later than March 15 of the calendar year following the calendar year in which the vesting date occurs.

SEC source: 0001104659-20-065507 · tm2020814-5_4.xml · nonDerivative · entry 1

Barot Sachin · CIK 0001777675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,867

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020).

SEC source: 0000899243-20-014044 · doc4.xml · nonDerivative · entry 2

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

Moradi David · CIK 0001658843 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,586

F3 · kind: Reflects the grant of RSUs under the Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on May 20, 2021), subject to the Reporting Person's continuing service with the Issuer through such date, and will be settled on the earlier of (i) the 7th anniversary of the Grant Date (i.e., on May 20, 2027) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

F3 · price: Reflects the grant of RSUs under the Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on May 20, 2021), subject to the Reporting Person's continuing service with the Issuer through such date, and will be settled on the earlier of (i) the 7th anniversary of the Grant Date (i.e., on May 20, 2027) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

F1 · ownership.direct: Securities of AudioEye, Inc. (the "Issuer") held directly by David Moradi.

SEC source: 0000899243-20-014044 · doc4.xml · nonDerivative · entry 1

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

Moradi David · CIK 0001658843 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,306

F2 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, as amended and restated on May 18, 2020 (the "Plan"), which RSUs will vest on November 8, 2020, subject to the Reporting Person's continuing service with the Issuer through such date, and will be settled promptly after the vesting date but no later than March 15, 2021.

F2 · price: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, as amended and restated on May 18, 2020 (the "Plan"), which RSUs will vest on November 8, 2020, subject to the Reporting Person's continuing service with the Issuer through such date, and will be settled promptly after the vesting date but no later than March 15, 2021.

F1 · ownership.direct: Securities of AudioEye, Inc. (the "Issuer") held directly by David Moradi.

SEC source: 0001104659-20-065508 · tm2020814-6_4.xml · nonDerivative · entry 1

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,680

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020), which RSUs will vest on the first anniversary of the Grant Date (i.e., on May 20, 2021), subject to the Reporting Person's continuing service with the Issuer through such date, and, if vested, will be settled on the earlier of (i) the 7th anniversary of the Grant Date (i.e., on May 20, 2027) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001104659-20-065509 · tm2020814-7_4.xml · nonDerivative · entry 1

Bettis Carr · CIK 0001586216 · Director · Exec Chrmn/Chrmn of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,577

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020), which RSUs will vest on the first anniversary of the Grant Date (i.e., on May 20, 2021), subject to the Reporting Person's continuous service with the Company through such vesting date. Such RSUs will be settled promptly following the vesting date, and in any event no later than March 15 of the calendar year following the calendar year in which such vesting occurs.

SEC source: 0001104659-20-065505 · tm2020814-3_4.xml · derivative · entry 1

Sternberg Lonny · CIK 0001769982 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850

Underlying: Common Stock · 2,850 shares

Expires 2025-05-20

F1 · derivative.exercise_date: The stock options were granted under the AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020). The stock options will vest in three equal installments on each of the first three anniversaries of the grant date, subject to the Reporting Person's continuous service with the Issuer through each vesting date.