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AIR INDUSTRIES GROUP — Director's Dealing 2019
Feb 14, 2019
35084_dirs_2019-02-14_af4d7c38-fb0c-46c6-859e-4c0174682fab.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: 2019-02-13
Reporting Person: TAGLICH ROBERT (Director, 10% Owner)
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 |
| 2017-03-08 | 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 | $1.5 | P | 93279 | Acquired | 2022-05-12 | Common Stock (93279) | Direct |
| 2017-11-29 | Warrants | $1.5 | 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 |
| 2017-03-08 | 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 8% convertible notes, in lieu of cash payment of commissions.