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AIR INDUSTRIES GROUP — Director's Dealing 2021
Jan 6, 2021
35084_dirs_2021-01-06_6c43a03d-b4ce-493b-acda-3aa2a110c699.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: 2021-01-04
Reporting Person: TAGLICH ROBERT (Director, 10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants | $3 | 2021-11-30 | Common Stock (15029) | 23918 | Direct |
| Warrants | $3.71 | 2022-01-31 | Common Stock (19230) | 19230 | Direct |
| Warrants | $3.3 | 2022-01-31 | Common Stock (7692) | 7692 | Direct |
| Warrants | $3 | 2021-11-30 | Common Stock (15344) | 39262 | Direct |
| Warrants | $3 | 2021-11-30 | Common Stock (12540) | 51802 | Direct |
| Warrants | $4.45 | 2022-01-31 | Common Stock (7500) | 7500 | Direct |
| Warrants | $3.3 | 2022-01-31 | Common Stock (4374) | 12542 | Direct |
| Warrants | $3.78 | 2022-01-31 | Common Stock (4306) | 4306 | Direct |
| Warrants | $4 | 2022-01-31 | Common Stock (869) | 869 | Direct |
| Warrants | $1.5 | 2022-05-12 | Common Stock (98590) | 98590 | Direct |
| Warrants | $1.5 | 2022-11-30 | Common Stock (24000) | 24000 | Direct |
| Warrants | $5 | 2021-07-31 | Common Stock (2436) | 2436 | Indirect |
| Warrants | $3.3 | 2022-01-31 | Common Stock (3416) | 3416 | Indirect |
| Warrants | $3.78 | 2022-01-31 | Common Stock (3354) | 3354 | Indirect |
| Warrants | $4 | 2022-01-31 | Common Stock (615) | 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: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.
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.