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AIR INDUSTRIES GROUP — Director's Dealing 2020
Jan 10, 2020
35084_dirs_2020-01-09_94b27ac3-424e-4471-9d55-f21867474ed5.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: 2020-01-07
Reporting Person: SCHROEDER ROBERT C (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-01-07 | Common Stock | J | 2500 | $2.38 | Acquired | 102481 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options (right to purchase) | $1.59 | 2023-05-31 | Common Stock (13000) | 13000 | Direct |
| Stock Options (right to purchase) | $10.05 | 2020-04-05 | Common Stock (3000) | 3000 | Direct |
| Stock Options (right to purchase) | $4.64 | 2021-06-01 | Common Stock (3000) | 3000 | Direct |
| Stock Options (right to purchase) | $1.69 | 2022-12-31 | Common Stock (3000) | 3000 | Direct |
| Stock Options (right to purchase) | $1.28 | 2025-12-31 | Common Stock (10000) | 10000 | Direct |
| Stock Options (right to purchase) | $2.38 | 2026-12-31 | Common Stock (10000) | 10000 | Direct |
| Warrants (right to purchase) | $6.15 | 2021-05-26 | Common Stock (8110) | 8110 | Indirect |
| Warrants (right to purchase) | $6.15 | 2021-07-31 | Common Stock (10500) | 10500 | Indirect |
| Warrants (right to purchase) | $3 | 2021-11-30 | Common Stock (11278) | 11278 | Indirect |
| Warrants (right to purchase) | $3 | 2021-11-30 | Common Stock (6450) | 17728 | Indirect |
| Warrants (right to purchase) | $4.45 | 2022-01-31 | Common Stock (5000) | 5000 | Indirect |
| Warrants (right to purchase) | $3.3 | 2022-01-31 | Common Stock (2913) | 2913 | Indirect |
| Warrants (right to purchase) | $3.78 | 2022-01-31 | Common Stock (2868) | 2868 | Indirect |
| Warrants (right to purchase) | $4 | 2022-01-31 | Common Stock (579) | 579 | Indirect |
Footnotes
F1: Represents shares issued in lieu of cash payment of directors' fees.
F2: Fully vested as of December 31, 2018.
F3: Fully vested as of 11/01/2016.
F4: Fully vested as of 01/01/2016.
F5: Fully vested as of December 31, 2019.
F6: Vests as to 2,500 shares on March 31, 2020, and an additional 2,500 shares on each of June 30, 2020, September 30, 2020 and December 31, 2020.
F7: Assignment of a portion of Placement Agent Warrants originally issued to Taglich Brothers, Inc., of which the Reporting Person is Vice President - Investment Banking.