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