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AIR INDUSTRIES GROUP — Director's Dealing 2017
Dec 12, 2017
35084_dirs_2017-12-12_52a60218-786a-4d60-afee-548e775361ab.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: 2017-10-03
Reporting Person: TAGLICH ROBERT (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-22 | Warrants | $3 | P | 15029 | Acquired | 2021-11-30 | Common Stock (15029) | Direct |
| 2017-02-07 | Warrants | $3.71 | P | 19230 | Acquired | 2022-01-31 | Common Stock (19230) | Direct |
| 2017-03-15 | Warrants | $3.3 | P | 7692 | Acquired | 2022-01-31 | Common Stock (7692) | Direct |
| 2017-03-15 | Warrants | $3 | J | 15344 | Acquired | 2021-11-30 | Common Stock (15344) | Direct |
| 2017-03-15 | Warrants | $3 | J | 12540 | Acquired | 2021-11-30 | Common Stock (12540) | Direct |
| 2017-03-15 | Warrants | $4.45 | J | 7500 | Acquired | 2022-01-31 | Common Stock (7500) | Direct |
| 2017-03-15 | Warrants | $3.3 | J | 4374 | Acquired | 2022-01-31 | Common Stock (4374) | Direct |
| 2017-03-15 | Warrants | $3.78 | J | 4306 | Acquired | 2022-01-31 | Common Stock (4306) | Direct |
| 2017-03-21 | Warrants | $4 | J | 869 | Acquired | 2022-01-31 | Common Stock (869) | Direct |
| 2017-05-12 | Warrants | $1.50 | P | 93279 | Acquired | 2022-05-12 | Common Stock (93279) | Direct |
| 2017-11-29 | Warrants | $1.50 | P | 24000 | Acquired | 2022-11-30 | Common Stock (24000) | Direct |
| 2016-08-19 | Warrants | $5 | P | 2436 | Acquired | 2021-07-31 | Common Stock (2436) | Indirect |
| 2014-01-01 | Warrants | $8.72 | A | 10000 | Acquired | 2019-12-31 | Common Stock (10000) | Indirect |
| 2017-03-15 | Warrants | $3.3 | J | 3416 | Acquired | 2022-01-31 | Common Stock (3416) | Indirect |
| 2017-03-15 | Warrants | $3.78 | J | 3354 | Acquired | 2022-01-31 | Common Stock (3354) | Indirect |
| 2017-03-21 | Warrants | $4 | J | 615 | Acquired | 2022-01-31 | Common Stock (615) | Indirect |
Footnotes
F1: Custodian for children under NY UGMA.
F2: Assignment of a portion of Placement Agent Warrants originally issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director.
F3: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.
F4: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, pursuant to Capital Markets Advisory Agreement.
F5: Represents 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 2019 Notes in March 2017, in lieu of cash payment of commissions.