TAGLICH ROBERT 4

Accession 0001013762-23-001629

CIK 0001009891other

Filed

Oct 3, 8:00 PM ET

Accepted

Oct 4, 4:25 PM ET

Size

22.0 KB

Accession

0001013762-23-001629

Form 4

Period: 2023-10-04

Director10% Owner

Transactions

Holdings

Common Stock
(indirect: See Note)
4,476
Convertible Notes
Exercise: $15.00From: 2018-09-30Exp: 2026-07-01→ Common Stock (7,812 underlying)
Stock Options
Exercise: $3.43Exp: 2028-06-30→ Common Stock (2,120 underlying)
2,120
Stock Option
Exercise: $13.20Exp: 2027-12-31→ Common Stock (1,000 underlying)
1,000
Stock Option
Exercise: $12.80Exp: 2025-12-31→ Common Stock (1,000 underlying)
1,000
Convertible Notes
Exercise: $9.30From: 2019-01-15Exp: 2026-07-01→ Common Stock (110,323 underlying)
Common Stock
(indirect: See Note)
23,995
Stock Option
Exercise: $8.40Exp: 2027-04-30→ Common Stock (1,000 underlying)
1,000
Stock Option
Exercise: $23.80Exp: 2026-12-31→ Common Stock (1,000 underlying)
1,000
Convertible Notes
Exercise: $15.00From: 2018-09-30Exp: 2026-07-01→ Common Stock (50,772 underlying)
Stock Options
Exercise: $3.50Exp: 2028-05-31→ Common Stock (1,000 underlying)
1,000
Convertible Notes
(indirect: See Note)
Exercise: $15.00From: 2018-09-30Exp: 2026-07-01→ Common Stock (14,217 underlying)
Convertible Notes
(indirect: See Note)
Exercise: $9.30From: 2019-01-15Exp: 2026-07-01→ Common Stock (3,011 underlying)

Footnotes (9)

[F1]Shares received in lieu of cash payment of director's fees.
[F2]Represent shares owned by Taglich Brothers, Inc., of which the Reporting Person is Managing Director.
[F3]Represents shares acquired for which Mr. Taglich is the custodian for his children under NY UGMA.
[F4]Vests as to 250 shares on each of June 2, 2023, June 30, 2023, September 30, 2023 and December 31, 2023.
[F5]Exercisable in full.
[F6]Represents Issuer's 6% convertible notes received pursuant to amendment to Issuer's 8% convertible notes and includes accrued interest through December 31, 2020.
[F7]Includes accrued interest on the Notes through December 31, 2020 and the shares that would be issued upon conversion for the interest accrued through December 31, 2020. Does not include shares to be issued upon conversion for interest accrued after December 31, 2020.
[F8]Represents 6% convertible notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, pursuant to amendment to Issuer's 8% convertible notes originally issued in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 8% convertible notes.
[F9]Represents 7% convertible notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, issued in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 7% convertible notes in January 2019.

Documents

1 file

AIR INDUSTRIES GROUP

CIK 0001009891

Entity typeother