AEYE

SEC source: 0001104659-20-098470 · tm2029351d1_4a.xml · nonDerivative · entry 1

Barot Sachin · CIK 0001777675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,834

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).

F2 · shares: 26,967 RSUs will vest in 30 days following the grant date, subject to the filing person's continuous service with AudioEye, Inc. 26,967 RSUs vest on satisfaction of service-based and performance-based conditions. The Compensation Committee will certify the extent to with the RSUs have vested within 30 days after May 20, 2021, subject to the filing person's continuous service with AudioEye, Inc.

SEC source: 0000950138-19-000587 · edgar.xml · nonDerivative · entry 1

Tahir Jamil A. · CIK 0001794012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,280

F1 · shares: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on December 6, 2020), subject to the Reporting Person's continuous service with the Issuer through such date and shall be settled on the earlier of (i) the 7th anniversary of the Grant Date (i.e., on December 6, 2026) and (ii) immediately prior to a "change of control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0000899243-19-028836 · 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: 166,449

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on December 6, 2020), 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 December 6, 2026) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

F1 · price: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on December 6, 2020), 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 December 6, 2026) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001144204-19-040463 · tv527880_4.xml · derivative · entry 9

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Equity Trust Custodian, FBO Alexandre Zyngier IRA

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2023-09-26

F2 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.

SEC source: 0001144204-19-040463 · tv527880_4.xml · derivative · entry 8

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Equity Trust Custodian, FBO Alexandre Zyngier IRA

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2020-10-16

F2 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.

SEC source: 0001144204-19-040463 · tv527880_4.xml · nonDerivative · entry 2

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Equity Trust Custodian, FBO Alexandre Zyngier IRA

Disclosed balance after: 123,430

F1 · kind: Reflects the exercise of warrants to purchase shares of the Issuer's common stock. See Footnote 4 below.

F2 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.

SEC source: 0000899243-19-021942 · doc4.xml · derivative · entry 14

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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: 146,667

Underlying: Common Stock · 146,667 shares

Expires 2020-08-14

F6 · kind: On August 14, 2019, Sero Capital entered into a Loan Agreement (the "Loan Agreement") with the Issuer pursuant to which Sero Capital agreed to make advances to the Issuer in an amount up to $2,000,000 in the aggregate during a one-year term at an interest rate of 10% per annum. Interest payments on advances made under the Loan Agreement may be paid by the Issuer in either cash or in Issuer common stock, at the Issuer's option. In the event that the Issuer shall elect to make a payment of interest in the form of Issuer common stock, the number of shares issued by the Issuer with respect to each payment of interest shall be equal to the dollar amount of the applicable interest payment divided by the lesser of (x) $6.07, or (y) the volume weighted average trading price of the common stock for the five trading days immediately preceding the interest payment date.

F7 · kind: (continued from footnote 6) As consideration for entering into the Loan Agreement, on August 14, 2019, the Issuer issued to Sero Capital warrants to purchase 146,667 shares of Issuer common stock at an exercise price of $6.00 per share. Such warrants may be exercised for cash or on a cashless basis, provided that if the fair market value on the expiration date exceeds the exercise price on the expiration date, then the warrants will be deemed to have been exercised in full (to the extent not previously exercised) on a cashless basis on the expiration date. The number of shares purchasable upon the exercise of the warrants and the exercise price are subject to certain antidilution adjustments described in the warrants.

F6 · price: On August 14, 2019, Sero Capital entered into a Loan Agreement (the "Loan Agreement") with the Issuer pursuant to which Sero Capital agreed to make advances to the Issuer in an amount up to $2,000,000 in the aggregate during a one-year term at an interest rate of 10% per annum. Interest payments on advances made under the Loan Agreement may be paid by the Issuer in either cash or in Issuer common stock, at the Issuer's option. In the event that the Issuer shall elect to make a payment of interest in the form of Issuer common stock, the number of shares issued by the Issuer with respect to each payment of interest shall be equal to the dollar amount of the applicable interest payment divided by the lesser of (x) $6.07, or (y) the volume weighted average trading price of the common stock for the five trading days immediately preceding the interest payment date.

F7 · price: (continued from footnote 6) As consideration for entering into the Loan Agreement, on August 14, 2019, the Issuer issued to Sero Capital warrants to purchase 146,667 shares of Issuer common stock at an exercise price of $6.00 per share. Such warrants may be exercised for cash or on a cashless basis, provided that if the fair market value on the expiration date exceeds the exercise price on the expiration date, then the warrants will be deemed to have been exercised in full (to the extent not previously exercised) on a cashless basis on the expiration date. The number of shares purchasable upon the exercise of the warrants and the exercise price are subject to certain antidilution adjustments described in the warrants.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 13

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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 · 42,858 shares

Expires 2022-09-29

F1 · derivative.exercise_price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · derivative.exercise_price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F4 · kind: On August 14, 2019, Sero Capital exercised in full all of the warrants the exercise prices of which were adjusted pursuant to the Amendments.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 12

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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 · 295,000 shares

Expires 2022-11-17

F1 · derivative.exercise_price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · derivative.exercise_price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F4 · kind: On August 14, 2019, Sero Capital exercised in full all of the warrants the exercise prices of which were adjusted pursuant to the Amendments.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 11

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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 · 590,000 shares

Expires 2020-11-06

F1 · derivative.exercise_price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · derivative.exercise_price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F4 · kind: On August 14, 2019, Sero Capital exercised in full all of the warrants the exercise prices of which were adjusted pursuant to the Amendments.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 10

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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: 42,858

Underlying: Common Stock · 42,858 shares

Expires 2022-09-29

F1 · derivative.exercise_price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · derivative.exercise_price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · kind: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · kind: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 9

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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 · 42,858 shares

Expires 2022-09-29

F1 · kind: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · kind: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 8

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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: 295,000

Underlying: Common Stock · 295,000 shares

Expires 2022-11-17

F1 · derivative.exercise_price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · derivative.exercise_price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · kind: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · kind: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 7

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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 · 295,000 shares

Expires 2022-11-17

F1 · kind: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · kind: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 6

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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: 590,000

Underlying: Common Stock · 590,000 shares

Expires 2020-11-06

F1 · derivative.exercise_price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · derivative.exercise_price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · kind: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · kind: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · derivative · entry 5

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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 · 590,000 shares

Expires 2020-11-06

F1 · kind: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · kind: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · nonDerivative · entry 3

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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: 2,584,598

F4 · kind: On August 14, 2019, Sero Capital exercised in full all of the warrants the exercise prices of which were adjusted pursuant to the Amendments.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · nonDerivative · entry 2

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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: 2,541,740

F4 · kind: On August 14, 2019, Sero Capital exercised in full all of the warrants the exercise prices of which were adjusted pursuant to the Amendments.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0000899243-19-021942 · doc4.xml · nonDerivative · entry 1

Sero Capital LLC · CIK 0001751296 · 10% owner

Moradi David · CIK 0001658843 · 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: 2,246,740

F4 · kind: On August 14, 2019, Sero Capital exercised in full all of the warrants the exercise prices of which were adjusted pursuant to the Amendments.

F1 · price: On August 14, 2019, Sero Capital LLC ("Sero Capital") entered into Omnibus Amendments to Common Stock Warrants (the "Amendments") with AudioEye, Inc. (the "Issuer") pursuant to which the exercise prices for several warrants to purchase common stock of the Issuer held by Sero Capital were adjusted. Pursuant to the Amendments, the exercise price for warrants to purchase 590,000 shares of the Issuer's common stock with an expiration date of November 6, 2020 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · price: (continued from footnote 1) In addition, pursuant to the Amendments, the exercise price of warrants to purchase 295,000 shares of the Issuer's common stock with an expiration date of November 17, 2022 was adjusted to a price of $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $2.50, if the warrants were exercised after August 16, 2019. Further, pursuant to the Amendments, the exercise price of warrants to purchase 42,858 shares of the Issuer's common stock with an expiration date of September 29, 2022 was adjusted to a price of $4.07 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price would be paid in cash, or $6.25, if the warrants were exercised after August 16, 2019.

F3 · ownership.nature: Securities of the Issuer held directly by 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: 0001144204-19-040463 · tv527880_4.xml · derivative · entry 7

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Equity Trust Custodian, FBO Alexandre Zyngier IRA

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2023-09-26

F4 · derivative.exercise_price: On August 14, 2019, the Issuer and certain holders of outstanding warrants to purchase the Issuer's common stock, including Equity Trust Custodian, FBO Alexandre Zyngier IRA, entered into an amendment pursuant to which the exercise price of such warrants was adjusted to $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price was paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.

SEC source: 0001144204-19-040463 · tv527880_4.xml · derivative · entry 6

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Equity Trust Custodian, FBO Alexandre Zyngier IRA

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2020-10-16

F4 · derivative.exercise_price: On August 14, 2019, the Issuer and certain holders of outstanding warrants to purchase the Issuer's common stock, including Equity Trust Custodian, FBO Alexandre Zyngier IRA, entered into an amendment pursuant to which the exercise price of such warrants was adjusted to $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price was paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.

SEC source: 0001144204-19-040463 · tv527880_4.xml · derivative · entry 5

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Equity Trust Custodian, FBO Alexandre Zyngier IRA

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2023-09-26

F4 · derivative.exercise_price: On August 14, 2019, the Issuer and certain holders of outstanding warrants to purchase the Issuer's common stock, including Equity Trust Custodian, FBO Alexandre Zyngier IRA, entered into an amendment pursuant to which the exercise price of such warrants was adjusted to $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price was paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.

SEC source: 0001144204-19-040463 · tv527880_4.xml · derivative · entry 4

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Equity Trust Custodian, FBO Alexandre Zyngier IRA

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2020-10-16

F4 · derivative.exercise_price: On August 14, 2019, the Issuer and certain holders of outstanding warrants to purchase the Issuer's common stock, including Equity Trust Custodian, FBO Alexandre Zyngier IRA, entered into an amendment pursuant to which the exercise price of such warrants was adjusted to $1.63 per share, if the warrants were exercised on or before August 16, 2019, provided the warrants were exercised in full and the exercise price was paid in cash, or $2.50, if the warrants were exercised after August 16, 2019.

F2 · ownership.nature: Mr. Zyngier is deemed the beneficial owner of Equity Trust Custodian, FBO Alexandre Zyngier IRA.

SEC source: 0001144204-19-034918 · tv525301_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 · 2,255 shares

Expires 2019-07-15

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.

SEC source: 0001144204-19-034918 · tv525301_4.xml · nonDerivative · entry 2

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,021

F2 · kind: Reflects 1,199 shares withheld by the Issuer upon the exercise of stock options to cover the exercise price of the stock options based on the average of the closing sale price of AudioEye, Inc. Common Stock for the five trading days immediately prior to the exercise. The average closing sale price was for the five trading days July 8, 2019 to July 12, 2019 was $7.322.

SEC source: 0001144204-19-034918 · tv525301_4.xml · nonDerivative · entry 1

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,220

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 exercise of incentive stock options.

SEC source: 0001144204-19-034916 · tv525300_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: 228,577

F2 · kind: Reflects 8,468 shares withheld by the Issuer upon the exercise of warrants to cover the exercise price of the warrants based on the closing sale price of AudioEye, Inc. Common Stock for the trading day immediately prior to the date of exercise, which was $7.27 on July 12, 2019.

SEC source: 0001144204-19-034916 · tv525300_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: 237,045

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 exercise of warrants to purchase shares of the Issuer's common stock.

SEC source: 0001144204-19-029915 · tv523116_4.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,864

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on June 3, 2020), 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 June 3, 2026) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001144204-19-029924 · tv523125_4.xml · nonDerivative · entry 1

Barot Sachin · CIK 0001777675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,900

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, which RSUs will vest in installments of 26,967 RSUs on the first anniversary of the Grant Date (i.e. on June 3, 2020), 26,967 RSUs on the second anniversary of the Grant Date (i.e. on June 3, 2021) and 26,966 RSUs on the third anniversary of the Grant Date (i.e. on June 3, 2022), subject to the Reporting Person's continuous service with the Company on each vesting date. Such RSUs will be settled promptly following the vesting dates, and in any event no later than March 15 of the calendar year following the calendar year in which such vesting occurs.

SEC source: 0001144204-19-029920 · tv523120_4.xml · derivative · entry 2

Bankofier Todd · CIK 0001751648 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,691

Underlying: Common Stock · 8,691 shares

Expires 2029-06-03

F1 · derivative.exercise_date: Reflects the grant of stock options ("Options") under the AudioEye, Inc. 2019 Equity Incentive Plan. The Options will become exercisable in three equal installments on each of the first three anniversaries of the Grant Date (i.e., on 06/03/2020, 06/03/2021 and 06/03/2022), subject to the Reporting Person's continuous service with the Company on each vesting date.

SEC source: 0001144204-19-029918 · tv523118_4.xml · nonDerivative · entry 1

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,760

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on June 3, 2020), 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 June 3, 2026) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001144204-19-029923 · tv523124_4.xml · derivative · entry 3

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,794

Underlying: Common Stock · 5,794 shares

Expires 2029-06-03

F2 · derivative.exercise_date: Reflects the grant of stock options ("Options") under the AudioEye, Inc. 2019 Equity Incentive Plan. The Options will become exercisable as to 3,852 shares in equal installments on each of the first two anniversaries of the Grant Date (i.e., on 06/03/2020 and 06/03/2021); and as to 1,932 shares on the third anniversary of the Grant Date (i.e., on 06/03/2022), subject to the Reporting Person's continuous service with the Company on each vesting date.

SEC source: 0001144204-19-029921 · tv523122_4.xml · derivative · entry 1

Sternberg Lonny · CIK 0001769982 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,794

Underlying: Common Stock · 5,794 shares

Expires 2029-06-03

F1 · derivative.exercise_date: Reflects the grant of stock options ("Options") under the AudioEye, Inc. 2019 Equity Incentive Plan. The Options will become exercisable as to 3,852 shares in equal installments on each of the first two anniversaries of the Grant Date (i.e., on 06/03/2020 and 06/03/2021); and as to 1,932 shares on the third anniversary of the Grant Date (i.e., on 06/03/2022), subject to the Reporting Person's continuous service with the Company on each vesting date.

SEC source: 0001144204-19-029913 · tv523115_4.xml · nonDerivative · entry 1

Purcell Ernest William · CIK 0001535260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,961

F1 · kind: Reflects the grant of restricted stock units ("RSUs") under the AudioEye, Inc. 2019 Equity Incentive Plan, which RSUs will vest on the first anniversary of the Grant Date (i.e., on June 3, 2020), 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 June 3, 2026) and (ii) immediately prior to a "change in control event" within the meaning of Treasury Regulation Section 1.409A-3(i)(5).

SEC source: 0001144204-19-019668 · tv518885_form4.xml · derivative · entry 5

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 · 13,920 shares

Expires 2019-04-14

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: 0001144204-19-019668 · tv518885_form4.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: 221,260

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: 0001144204-19-011685 · tv515170_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 · 1,989 shares

Expires 2019-04-15

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.

SEC source: 0001144204-19-011685 · tv515170_4.xml · nonDerivative · entry 2

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,965

F2 · shares: Represents 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.

SEC source: 0001144204-19-011685 · tv515170_4.xml · nonDerivative · entry 1

Bradley Sean D. · CIK 0001576478 · President and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,777

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 exercise of stock options.

SEC source: 0001144204-19-008702 · tv513908_4.xml · derivative · entry 5

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 · 10,000 shares

Expires 2019-02-14

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: 0001144204-19-008702 · tv513908_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: 207,340

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: 0001144204-19-001874 · tv511098_4.xml · derivative · entry 4

Bradley Sean D. · CIK 0001576478 · President, CTO, Co-Founder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2019-01-15

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.

SEC source: 0001144204-19-001874 · tv511098_4.xml · nonDerivative · entry 2

Bradley Sean D. · CIK 0001576478 · President, CTO, Co-Founder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,788

F2 · kind: Represents 729 shares withheld by the Issuer upon the exercise of stock options to cover the exercise price of the options based on a weighted average market price of $7.822 per share.

SEC source: 0001144204-19-001874 · tv511098_4.xml · nonDerivative · entry 1

Bradley Sean D. · CIK 0001576478 · President, CTO, Co-Founder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,517

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 exercise of stock options.

SEC source: 0001144204-19-001873 · tv511097_4.xml · derivative · entry 5

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 · 20,000 shares

Expires 2019-01-15

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.

F4 · derivative.expiration_date: On January 14, 2019, AudioEye, Inc. issued 20,000 shares of common stock to Dr. Bettis upon the cash exercise of Stock Options at an exercise price of $0.95.

SEC source: 0001144204-19-001873 · tv511097_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: 120,000

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: 0001144204-18-066794 · tv510085_form4.xml · nonDerivative · entry 1

COELHO ANTHONY L · CIK 0001164029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,880

F1 · kind: The 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.

F1 · price: The 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.

SEC source: 0001144204-18-066792 · tv510086_form4.xml · nonDerivative · entry 1

Purcell Ernest William · CIK 0001535260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,681

F1 · kind: The 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.

F1 · price: The 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.

SEC source: 0001144204-18-066790 · tv510087_form4.xml · nonDerivative · entry 1

ZYNGIER ALEXANDRE · CIK 0001679876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,480

F1 · kind: The 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.

F1 · price: The 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.