0000921895-18-003217.txt : 20181206
0000921895-18-003217.hdr.sgml : 20181206
20181206143507
ACCESSION NUMBER: 0000921895-18-003217
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181130
FILED AS OF DATE: 20181206
DATE AS OF CHANGE: 20181206
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Richmond David S.
CENTRAL INDEX KEY: 0001698614
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 181220290
MAIL ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RBI Private Investment II, LLC
CENTRAL INDEX KEY: 0001697890
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 181220291
BUSINESS ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
BUSINESS PHONE: (517) 435-4040
MAIL ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RBI Private Investment III, LLC
CENTRAL INDEX KEY: 0001755442
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 181220292
BUSINESS ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
BUSINESS PHONE: (517) 435-4040
MAIL ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RBI PI Manager, LLC
CENTRAL INDEX KEY: 0001698718
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 181220293
BUSINESS ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
BUSINESS PHONE: (517)435-4040
MAIL ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Richmond Brothers 401(k) Profit Sharing Plan
CENTRAL INDEX KEY: 0001698822
STATE OF INCORPORATION: MI
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 181220294
BUSINESS ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
BUSINESS PHONE: (517) 435-4040
MAIL ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Richmond Brothers, Inc.
CENTRAL INDEX KEY: 0001540462
STATE OF INCORPORATION: MI
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 181220295
BUSINESS ADDRESS:
STREET 1: 7415 FOXWORTH COURT
CITY: JACKSON
STATE: MI
ZIP: 49201
BUSINESS PHONE: 517-536-5000
MAIL ADDRESS:
STREET 1: 7415 FOXWORTH COURT
CITY: JACKSON
STATE: MI
ZIP: 49201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Curfman Matthew J.
CENTRAL INDEX KEY: 0001698617
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 181220296
MAIL ADDRESS:
STREET 1: 3568 WILDWOOD AVENUE
CITY: JACKSON
STATE: MI
ZIP: 49202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AIR INDUSTRIES GROUP
CENTRAL INDEX KEY: 0001009891
STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT PART & AUXILIARY EQUIPMENT, NEC [3728]
IRS NUMBER: 204458244
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 360 MOTOR PARKWAY, SUITE 100
CITY: HAUPPAUGE
STATE: NY
ZIP: 11788
BUSINESS PHONE: 631-881-4920
MAIL ADDRESS:
STREET 1: 360 MOTOR PARKWAY, SUITE 100
CITY: HAUPPAUGE
STATE: NY
ZIP: 11788
FORMER COMPANY:
FORMER CONFORMED NAME: AIR INDUSTRIES GROUP, INC.
DATE OF NAME CHANGE: 20070702
FORMER COMPANY:
FORMER CONFORMED NAME: Gales Industries Inc
DATE OF NAME CHANGE: 20060410
FORMER COMPANY:
FORMER CONFORMED NAME: Ashlin Development Corp
DATE OF NAME CHANGE: 20050127
4/A
1
form4a11265004_12062018.xml
OWNERSHIP DOCUMENT
X0306
4/A
2018-11-30
2018-12-04
0
0001009891
AIR INDUSTRIES GROUP
AIRI
0001698614
Richmond David S.
3568 WILDWOOD AVENUE
JACKSON
MI
49202
0
0
1
1
See Footnote 1
0001697890
RBI Private Investment II, LLC
3568 WILDWOOD AVENUE
JACKSON
MI
49202
0
0
0
1
See Footnote 1
0001755442
RBI Private Investment III, LLC
3568 WILDWOOD AVENUE
JACKSON
MI
49202
0
0
0
1
See Footnote 1
0001698718
RBI PI Manager, LLC
3568 WILDWOOD AVENUE
JACKSON
MI
49202
0
0
0
1
See Footnote 1
0001698822
Richmond Brothers 401(k) Profit Sharing Plan
3568 WILDWOOD AVENUE
JACKSON
MI
49202
0
0
0
1
See Footnote 1
0001540462
Richmond Brothers, Inc.
3568 WILDWOOD AVENUE
JACKSON
MI
49202
0
0
1
1
See Footnotes 1 and 2
0001698617
Curfman Matthew J.
3568 WILDWOOD AVENUE
JACKSON
MI
49202
0
0
1
1
See Footnote 1
Common Stock
2018-11-30
4
P
0
3979
1.1114
A
70985
I
By: Richmond Brothers 401(k) Profit Sharing Plan
Common Stock
2018-11-30
4
P
0
525
1.1114
A
525
I
By: Matthew J. Curfman
This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own.
Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16.
Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan.
This Form 4/A is being filed to amend the price information in Column 4 of Table 1 of the original Form 4 filed on December 4, 2018, which was reported due to a clerical error.
By: /s/ David S. Richmond
2018-12-06
By: RBI Private Investment II, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager
2018-12-06
By: RBI Private Investment III, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager
2018-12-06
By: RBI PI Manager, LLC; By: /s/ David S. Richmond, Manager
2018-12-06
By: Richmond Brothers 401(k) Profit Sharing Plan; By: /s/ David S. Richmond, Trustee
2018-12-06
By: Richmond Brothers, Inc.; By: /s/ David S. Richmond, Chairman
2018-12-06
By: /s/ Matthew J. Curfman
2018-12-06