0001193805-20-001552.txt : 20201216 0001193805-20-001552.hdr.sgml : 20201216 20201216190146 ACCESSION NUMBER: 0001193805-20-001552 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201211 FILED AS OF DATE: 20201216 DATE AS OF CHANGE: 20201216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond David S. CENTRAL INDEX KEY: 0001698614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35927 FILM NUMBER: 201393753 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35927 FILM NUMBER: 201393754 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35927 FILM NUMBER: 201393755 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35927 FILM NUMBER: 201393756 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35927 FILM NUMBER: 201393757 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35927 FILM NUMBER: 201393758 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35927 FILM NUMBER: 201393759 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: 1460 FIFTH AVENUE CITY: BAY SHORE STATE: NY ZIP: 11706 BUSINESS PHONE: 631-881-4920 MAIL ADDRESS: STREET 1: 1460 FIFTH AVENUE CITY: BAY SHORE STATE: NY ZIP: 11706 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 1 e620141_4-airi.xml X0306 4 2020-12-11 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 2020-12-11 4 S 0 1330 1.2560 D 798670 I By: RBI Private Investment III, LLC Common Stock 2020-12-14 4 S 0 34129 1.1982 D 764541 I By: RBI Private Investment III, LLC Common Stock 2020-12-15 4 S 0 18471 1.1971 D 746070 I By: RBI Private Investment III, LLC Common Stock 2020-12-16 4 S 0 34662 1.1936 D 711408 I By: RBI Private Investment III, LLC Common Stock 15333 I By: RBI Private Investment II, LLC Common Stock 83235 I By: Richmond Brothers 401(k) Profit Sharing Plan Common Stock 9155 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 PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Represents securities directly owned by RBI PII. RBI Manager, as the manager of RBI PII, may be deemed to beneficially own the securities owned directly by RBI PII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PII. 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. The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.26. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.22. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.21. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.215. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. By: /s/ David S. Richmond 2020-12-16 By: RBI Private Investment II, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2020-12-16 By: RBI Private Investment III, LLC; By: RBI PI Manager, LLC, Manager; By: /s/ David S. Richmond, Manager 2020-12-16 By: RBI PI Manager, LLC; By: /s/ David S. Richmond, Manager 2020-12-16 By: Richmond Brothers 401(k) Profit Sharing Plan; By: /s/ David S. Richmond, Trustee 2020-12-16 By: Richmond Brothers, Inc.; By: /s/ David S. Richmond, Chairman 2020-12-16 By: /s/ Matthew J. Curfman 2020-12-16