4//SEC Filing
TAGLICH ROBERT 4
Accession 0001213900-23-046829
CIK 0001009891other
Filed
Jun 5, 8:00 PM ET
Accepted
Jun 6, 4:34 PM ET
Size
18.6 KB
Accession
0001213900-23-046829
Insider Transaction Report
Form 4
TAGLICH ROBERT
Director10% Owner
Transactions
- Award
Stock Options
2023-06-02+10,000→ 10,000 totalExercise: $3.50Exp: 2028-05-31→ Common Stock (10,000 underlying)
Holdings
Convertible Notes
Exercise: $15.00From: 2018-09-30Exp: 2023-07-01→ Common Stock (7,812 underlying)- 247,051
Common Stock
- 2,120
Stock Options
Exercise: $3.43Exp: 2028-06-30→ Common Stock (2,120 underlying) Convertible Notes
Exercise: $15.00From: 2018-09-30Exp: 2023-07-01→ Common Stock (50,772 underlying)- 4,476(indirect: See Note)
Common Stock
- (indirect: See Note)
Convertible Notes
Exercise: $9.30From: 2019-01-15Exp: 2023-07-01→ Common Stock (3,011 underlying) - 23,995(indirect: See Note)
Common Stock
Convertible Notes
Exercise: $9.30From: 2019-01-15Exp: 2023-07-01→ Common Stock (110,323 underlying)- (indirect: See Note)
Convertible Notes
Exercise: $15.00From: 2018-09-30Exp: 2023-07-01→ Common Stock (14,217 underlying) - 1,750(indirect: See Note)
Warrants
Exercise: $14.00From: 2018-10-01Exp: 2023-09-30→ Common Stock (1,750 underlying)
Footnotes (9)
- [F1]Represent shares owned by Taglich Brothers, Inc., of which the Reporting Person is Managing Director.
- [F2]Represents shares acquired for which Mr. Taglich is the custodian for his children under NY UGMA.
- [F3]Vests as to 2,500 shares on each of June 2, 2023, June 30, 2023, September 30, 2023 and December 31, 2023.
- [F4]Exercisable in full.
- [F5]Represents Issuer's 6% convertible notes received pursuant to amendment to Issuer's 8% convertible notes and includes accrued interest through December 31, 2020.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]Represents warrants issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, for acting as placement agent for the sale of Issuer's shares of common stock in October 2018.
Documents
Issuer
AIR INDUSTRIES GROUP
CIK 0001009891
Entity typeother
Related Parties
1- filerCIK 0001353439
Filing Metadata
- Form type
- 4
- Filed
- Jun 5, 8:00 PM ET
- Accepted
- Jun 6, 4:34 PM ET
- Size
- 18.6 KB