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AIR INDUSTRIES GROUP — Director's Dealing 2016
Jun 6, 2016
35084_dirs_2016-06-06_7bcbd6e1-c5e2-4631-b5a2-09f1c123e752.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: 2016-06-02
Reporting Person: TAGLICH MICHAEL N (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-08-24 | Common Stock | P | 500 | $8.15 | Acquired | 352497 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-07-11 | Stock Options (right to purchase) | $2.95 | A | 3000 | Acquired | 2016-07-11 | Common Stock (3000) | Direct |
| 2012-09-10 | Stock Options (right to purchase) | $6 | A | 3000 | Acquired | 2017-09-10 | Common Stock (3000) | Direct |
| 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 | 2019-08-20 | Common Stock (750) | Direct |
| 2014-11-24 | Stock Options (right to purchase) | $10.26 | A | 1750 | Acquired | 2019-11-23 | Common Stock (1750) | Direct |
| 2015-04-06 | Stock Options (right to purchase) | $10.05 | A | 750 | Acquired | 2020-04-05 | Common Stock (750) | Direct |
| 2015-04-06 | Stock Options (right to purchase) | $10.05 | A | 750 | Acquired | 2020-04-05 | Common Stock (750) | Direct |
| 2015-04-06 | Stock Options (right to purchase) | $10.05 | A | 750 | Acquired | 2020-04-05 | Common Stock (750) | Direct |
| 2015-04-06 | Stock Options (right to purchase) | $10.05 | A | 750 | Acquired | 2020-04-05 | Common Stock (750) | Direct |
| 2016-05-26 | Series A Convertible Preferred Stock | $4.92 | P | 110000 | Acquired | Common Stock (223575) | Direct | |
| 2016-05-26 | Warrants (5) (right to purchase) | $6.15 | P | 50996 | Acquired | 2021-05-26 | Common Stock (50996) | Indirect |
| 2016-06-02 | Stock Options (right to purchase) | $4.64 | A | 750 | Acquired | 2021-06-01 | Common Stock (750) | Direct |
| 2016-06-02 | Stock Options (right to purchase) | $4.64 | A | 750 | Acquired | 2021-06-01 | Common Stock (750) | Direct |
| 2016-06-02 | Stock Options (right to purchase) | $4.64 | A | 750 | Acquired | 2021-06-01 | Common Stock (750) | Direct |
| 2016-06-02 | Stock Options (right to purchase) | $4.64 | A | 750 | Acquired | 2021-06-01 | Common Stock (750) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 45980 | Indirect |
| Common Stock | 12746 | Indirect |
Footnotes
F1: Represents shares owned by Taglich Brothers, Inc., of which the Reporting Person is Chairman and President.
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 Chairman and President, pursuant to Capital Markets Advisory Agreement.
F5: Placement Agent Warrants received by Taglich Brothers, Inc., of which the Reporting Person is Chairman and President , which acted as placement agent for the sale of Issuer's Series A Convertible Preferred Stock in May 2016.
F6: There is no expiration date.