Filing Details
- Accession Number:
- 0001193805-16-003453
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-06-13 08:25:38
- Reporting Period:
- 2016-06-10
- Filing Date:
- 2016-06-13
- Accepted Time:
- 2016-06-13 08:25:38
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1009891 | Air Industries Group | AIRI | Aircraft Parts & Auxiliary Equipment, Nec (3728) | 204458244 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1353439 | Robert Taglich | 700 New York Avenue, Suite B Huntington NY 11743 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-06-10 | 2,500 | $5.00 | 374,903 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2011-07-11 | 3,000 | $0.00 | 3,000 | $2.95 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2012-09-10 | 3,000 | $0.00 | 3,000 | $6.00 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2013-04-23 | 750 | $0.00 | 750 | $6.00 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2013-09-30 | 750 | $0.00 | 750 | $7.86 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2013-12-31 | 750 | $0.00 | 750 | $8.98 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2014-03-31 | 750 | $0.00 | 750 | $9.38 |
| Common Stock | Warrants (1) (right to purchase) | Acquisiton | 2012-06-22 | 31,190 | $0.00 | 31,190 | $6.30 |
| Common Stock | Warrants (1) (right to purchase) | Acquisiton | 2014-01-01 | 10,000 | $0.00 | 10,000 | $8.72 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2014-05-16 | 750 | $0.00 | 750 | $11.73 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2014-08-21 | 750 | $0.00 | 750 | $9.24 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2014-11-24 | 1,750 | $0.00 | 1,750 | $10.26 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2015-04-06 | 750 | $0.00 | 750 | $10.05 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2015-04-06 | 750 | $0.00 | 750 | $10.05 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2015-04-06 | 750 | $0.00 | 750 | $10.05 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2015-04-06 | 750 | $0.00 | 750 | $10.05 |
| Common Stock | Series A Convertible Preferred Stock | Acquisiton | 2016-05-26 | 65,000 | $10.00 | 132,113 | $4.92 |
| Common Stock | Warrants (5) (right to purchase) | Acquisiton | 2016-05-26 | 50,996 | $0.00 | 50,996 | $6.15 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2016-06-02 | 750 | $0.00 | 750 | $4.64 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2016-06-02 | 750 | $0.00 | 750 | $4.64 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2016-06-02 | 750 | $0.00 | 750 | $4.64 |
| Common Stock | Stock Options (right to purchase) | Acquisiton | 2016-06-02 | 750 | $0.00 | 750 | $4.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,000 | 2011-07-11 | 2016-07-11 | No | 4 | A | Direct |
| 6,000 | 2012-09-10 | 2017-09-10 | No | 4 | A | Direct |
| 6,750 | 2013-04-23 | 2018-04-23 | No | 4 | A | Direct |
| 7,500 | 2013-09-30 | 2018-09-30 | No | 4 | A | Direct |
| 8,250 | 2013-12-31 | 2018-12-31 | No | 4 | A | Direct |
| 9,000 | 2014-03-31 | 2019-03-31 | No | 4 | A | Direct |
| 40,190 | 2012-06-22 | 2017-06-22 | No | 4 | A | Indirect |
| 50,190 | 2014-04-01 | 2019-12-31 | No | 4 | A | Indirect |
| 50,940 | 2014-05-16 | 2019-05-15 | No | 4 | A | Direct |
| 51,690 | 2014-08-21 | 2019-08-22 | No | 4 | A | Direct |
| 53,440 | 2014-11-24 | 2019-11-23 | No | 4 | A | Direct |
| 54,190 | 2015-04-06 | 2020-04-05 | No | 4 | A | Direct |
| 54,940 | 2015-07-01 | 2020-04-05 | No | 4 | A | Direct |
| 55,690 | 2015-10-01 | 2020-04-05 | No | 4 | A | Direct |
| 56,440 | 2016-01-01 | 2020-04-05 | No | 4 | A | Direct |
| 188,553 | 2016-05-26 | No | 4 | P | Direct | |
| 239,549 | 2016-11-27 | 2021-05-26 | No | 4 | P | Indirect |
| 240,299 | 2016-06-02 | 2021-06-01 | No | 4 | A | Direct |
| 241,049 | 2016-08-01 | 2021-06-01 | No | 4 | A | Direct |
| 241,799 | 2016-11-01 | 2021-06-01 | No | 4 | A | Direct |
| 242,549 | 2017-02-01 | 2021-06-01 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 45,980 | Indirect | See Note |
| Common Stock | 12,746 | Indirect | See Note |
Footnotes
- Represents shares owned by Taglich Brothers, Inc., of which the Reporting Person is Managing Director.
- Owned by Tag/Kent Partners, of which Reporting Person is a General Partner.
- Reporting Person's portion of a total 118,585 Placement Agent Warrants received by Taglich Brothers, Inc., which acted as placement agent for the sale of Issuer's common stock in June and July of 2012.
- Represents warrants issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, pursuant to Capital Markets Advisory Agreement.
- Placement Agent Warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's Series A Convertible Preferred Stock in May 2016.
- No expiration date.
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