AUDIOEYE INC

For the period ended Dec 31, 2023. Filed Mar 7, 2024.

About this filing

A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.

FY2023 · Filed Mar 7, 2024

AEYE$13.67+5.5%Stored close · as of Nov 10, 2026

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Contents

Item 15. Exhibits, Financial Statement Schedules

a)	The following documents are filed as part of this report:

(1)	Financial Statements — See Index to Financial Statements on page F-1 below and the financial pages that follow.

(2)	Financial Statements Schedules — As a “smaller reporting company,” as defined by Item 10 of Regulation S-K, we are not required to provide this information.

(3)	Exhibits — The following exhibits are either filed herewith or have previously been filed with the Securities and Exchange Commission and are referred to and incorporated herein by reference to such filings:

· · Incorporation by Reference
Exhibit No.	Description	Form	Date of Filing	Exhibit No.	Filed Herewith
3.1	Restated Certificate of Incorporation of AudioEye, Inc., dated as of August 8, 2022	10-Q	August 9, 2022	3.1
· · ·
3.2	Certificate of Elimination of the Series A Convertible Preferred Stock, dated as of August 8, 2022	10-Q	August 9, 2022	3.4

3.3	By-Laws of AudioEye, Inc. (as amended as of March 24, 2023)	8-K	March 28, 2023	3.1
· · ·
4.1	Description of Registered Securities				X

4.2	Form of Senior Indenture	S-3	February 7, 2024	4.2

4.3	Form of Subordinated Indenture	S-3	February 7, 2024	4.3

10.1*	AudioEye, Inc. 2012 Incentive Compensation Plan effective December 19, 2012	S-1/A	January 11, 2013	10.13
· · ·
10.2*	AudioEye, Inc. 2013 Incentive Compensation Plan effective August 20, 2013	S-8	August 28, 2013	4.2
· · ·
10.3*	AudioEye, Inc. 2014 Incentive Compensation Plan effective January 27, 2014	S-1/A	February 4, 2014	10.20
· · ·
10.4*	AudioEye, Inc. 2015 Incentive Compensation Plan effective September 5, 2014	10-Q	November 7, 2014	10.1
· · ·
10.5*	AudioEye, Inc. 2016 Incentive Compensation Plan effective December 17, 2015	10-K	March 27, 2019	10.13
· · ·
10.6*	Form of Restricted Stock Unit Award Agreements for grants under the AudioEye, Inc. 2012, 2013, 2014, 2015 and 2016 Incentive Compensation Plans	10-K	March 27, 2019	10.30
· · ·
10.7*	Form of Performance Option Agreement for grants under the AudioEye, Inc. 2012, 2013, 2014, 2015 and 2016 Incentive Compensation Plans	10-K	March 27, 2019	10.31
· · ·

· · ·
10.8*	Form of Stock Option Agreement for grants under the AudioEye, Inc. 2012, 2013, 2014, 2015 and 2016 Incentive Compensation Plans	10-K	March 27, 2019	10.32
10.9*	AudioEye, Inc. 2019 Equity Incentive Plan (as amended and restated on May 18, 2020)	10-Q	August 13, 2020	10.1
· · ·
10.10*	AudioEye, Inc. 2019 Equity Incentive Plan – Form of Incentive Stock Option Agreement	8-K	May 14, 2019	10.3
· · ·
10.11*	AudioEye, Inc. 2019 Equity Incentive Plan – Form of Nonqualified Stock Option Agreement	8-K	May 14, 2019	10.4
· · ·
10.12*	AudioEye, Inc. 2019 Equity Incentive Plan – Form of Restricted Stock Unit Agreement	8-K	May 14, 2019	10.5
· · ·
10.13*	AudioEye, Inc. 2020 Equity Incentive Plan, as amended through May 20, 2022	8-K	May 24, 2022	10.1
· · ·
10.14*	Form of Restricted Stock Unit Award Agreement (Time-Based) under the AudioEye, Inc. 2020 Equity Incentive Plan	8-K	December 10, 2020	10.2

10.15*	Form of Restricted Stock Unit Award Agreement (Non-Employee Director Awards) under the AudioEye, Inc. 2020 Equity Incentive Plan	8-K	December 10, 2020	10.3
· · ·
10.16*	Form of Performance Stock Unit Award Agreement (Performance-Based) under the AudioEye, Inc. 2020 Equity Incentive Plan	8-K	December 10, 2020	10.4
· · ·
10.17*	Form of Incentive Stock Option Award Agreement under the AudioEye, Inc. 2020 Equity Incentive Plan	8-K	December 10, 2020	10.5
· · ·
10.18*	Form of Non-Qualified Stock Option Award Agreement under the AudioEye, Inc. 2020 Equity Incentive Plan	8-K	December 10, 2020	10.6
· · ·
10.19*	Form of Other Stock-Based Award Agreement under the AudioEye, Inc. 2020 Equity Incentive Plan	8-K	December 10, 2020	10.7
· · ·
10.20*	AudioEye, Inc. Employee Stock Purchase Plan	8-K	May 24, 2022	10.2

10.21*	Executive Employment Agreement dated July 1, 2015 between Dr. Carr Bettis and AudioEye, Inc.	8-K	July 8, 2015	10.1
· · ·
10.22*	Amendment to Executive Employment Agreement dated May 18, 2021 between Dr. Carr Bettis and AudioEye, Inc.	10-Q	August 11, 2021	10.1

10.23*	Second Amendment to Executive Employment Agreement by and between AudioEye, Inc. and Carr Bettis, dated March 25, 2023	8-K	March 28, 2023	10.1
· · ·
10.24*	Amended and Restated Employment Agreement by and between AudioEye, Inc. and David Moradi, dated April 5, 2022	8-K	April 8, 2022	10.1
· · ·

· · ·
10.25*	Amendment dated December 26, 2023 to the Amended and Restated Employment Agreement by and between AudioEye, Inc. and David Moradi, dated April 5, 2022	8-K	December 28, 2023	10.1

10.26*	Notice of Award of Performance Shares to David Moradi dated August 20, 2020 under the AudioEye, Inc. 2019 Equity Incentive Plan	8-K	August 24, 2020	10.2

10.27*	Performance Stock Unit Agreement, dated March 11, 2021 between the Company and David Moradi	8-K	March 15, 2021	10.1

10.28*	Executive Employment Agreement, dated June 10, 2021, between the Company and Kelly Georgevich	8-K	June 23, 2021	10.1
10.29	Loan and Security Agreement, dated as of November 30, 2023, by and between AudioEye, Inc., Springtime, Inc. and SG Credit Partners, Inc.				X

10.30	Form of Securities Purchase Agreement by and between AudioEye, Inc. and each Purchaser dated August 6, 2018	8-K	August 7, 2018	10.1
· · ·
10.31	Schedule of Certain Parties to Securities Purchase Agreements and Registration Rights Agreements dated as of August 6, 2018	10-K	March 27, 2019	10.35
· · ·
10.32	Stock Purchase Agreement dated as of March 9, 2022, by and between AudioEye, Inc., Mark Shapiro, Kim Testa, Garry Harstad, Ken Berquist and Betaspring Fund 100, LLC, and Mark Shapiro, as Sellers’ Representative	8-K	March 11, 2022	10.1
· · ·
10.33*	Form of AudioEye, Inc. Indemnification Agreement (Directors and Executive Officers)	8-K	December 16, 2019	10.1
· · ·
10.34*	Transition and Separation Agreement effective as of August 18, 2023 between the Company and Dominic Varacalli	8-K	August 21, 2023	10.1

10.35*	Consulting Agreement effective as of September 30, 2023 between the Company and Dominic Varacalli	8-K	August 21, 2023	10.2

14.1	Code of Business Conduct and Ethics	10-K	March 27, 2019	14.1
· · ·
23.1	Consent of MaloneBailey LLP, Independent Registered Public Accounting Firm				X
· · ·
24.1	Power of Attorney (included in signature page)				X
· · ·
31.1	Certification of the Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002				X
· · ·
31.2	Certification of the Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002				X

32.1	Certification of the Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002				X
· · ·

32.2	Certification of the Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002	X

97	AudioEye, Inc. Compensation Recovery Policy	X

101.INS	XBRL Instance Document

101.SCH	XBRL Taxonomy Extension Schema Document	X

101.CAL	XBRL Taxonomy Extension Calculation Linkbase Document	X

101.DEF	XBRL Taxonomy Extension Definition Linkbase Document	X

101.LAB	XBRL Taxonomy Extension Label Linkbase Document	X

101.PRE	XBRL Taxonomy Extension Presentation Linkbase Document	X

104	Cover Page Interactive Data File - The cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document

*	Constitutes a management contract or compensatory plan or arrangement.

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