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AIR INDUSTRIES GROUP — Director's Dealing 2014
Aug 22, 2014
35084_dirs_2014-08-22_3bbc5b02-9d92-4ec4-b2cf-988d8c182f63.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AIR INDUSTRIES GROUP (AIRI)
CIK: 0001009891
Period of Report: 2014-08-21
Reporting Person: TAGLICH ROBERT (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-04-23 | Stock Options (right to purchase) | $6 | A | 750 | Acquired | 2018-04-23 | Common Stock (750) | Direct |
| 2013-09-30 | Stock Options (right to purchase) | $7.86 | A | 750 | Acquired | 2018-09-30 | Common Stock (750) | Direct |
| 2013-12-31 | Stock Options (right to purchase) | $8.98 | A | 750 | Acquired | 2018-12-31 | Common Stock (750) | Direct |
| 2014-03-31 | Stock Options (right to purchase) | $9.38 | A | 750 | Acquired | 2019-03-31 | Common Stock (750) | Direct |
| 2012-06-22 | Warrants (1) (right to purchase) | $6.3 | A | 31190 | Acquired | 2017-06-22 | Common Stock (31190) | Indirect |
| 2014-01-01 | Warrants (1) (right to purchase) | $8.72 | A | 10000 | Acquired | 2019-12-31 | Common Stock (10000) | Indirect |
| 2014-05-16 | Stock Options (right to purchase) | $11.73 | A | 750 | Acquired | 2019-05-15 | Common Stock (750) | Direct |
| 2014-08-21 | Stock Options (right to purchase) | $9.24 | A | 750 | Acquired | 2019-08-22 | Common Stock (750) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 369998 | Direct |
| Common Stock | 45980 | Indirect |
| Common Stock | 12746 | Indirect |
Footnotes
F1: Represents shares owned by Taglich Brothers, Inc., of which the Reporting Person is Managing Director.
F2: Owned by Tag/Kent Partners, of which Reporting Person is a General Partner.
F3: 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.
F4: Represents warrants issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, pursuant to Capital Markets Advisory Agreement. The warrants are exercisable as to 2,500 shares commencing April 1, 2014, a total of 5,000 shares commencing July 1, 2014, a total of 7,500 shares commencing October 1, 2014 and a total of 10,000 shares on January 1, 2015.