0001213900-20-022729.txt : 20200818
0001213900-20-022729.hdr.sgml : 20200818
20200818181413
ACCESSION NUMBER: 0001213900-20-022729
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200715
FILED AS OF DATE: 20200818
DATE AS OF CHANGE: 20200818
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TAGLICH ROBERT
CENTRAL INDEX KEY: 0001353439
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35927
FILM NUMBER: 201114810
MAIL ADDRESS:
STREET 1: 700 NEW YORK AVENUE
CITY: HUNTINGTON
STATE: NY
ZIP: 11743
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
ownership.xml
OWNERSHIP DOCUMENT
X0306
4
2020-07-15
0
0001009891
AIR INDUSTRIES GROUP
AIRI
0001353439
TAGLICH ROBERT
C/O TAGLICH BROTHERS, INC.
37 MAIN STREET
COLD SPRING HARBOR
NY
11724
1
0
1
0
Common Stock
2020-07-15
4
J
0
12753
1.24
A
2216433
D
Common Stock
239946
I
See Note
Common Stock
44760
I
See Note
Stock Options
2.38
2020-03-31
2026-12-31
Common Stock
10000
10000
D
Stock Options
1.28
2025-12-31
Common Stock
10000
10000
D
Stock Options
1.59
2023-05-31
Common Stock
13000
13000
D
Stock Options
4.64
2021-06-01
Common Stock
3000
3000
D
Stock Options (right to purchase)
1.69
2018-01-02
2022-12-31
Common Stock
3000
3000
D
Convertible Notes
1.5
2018-09-30
2020-12-31
Common Stock
433333
650000
D
Convertible Notes
0.93
2019-01-15
2020-12-31
Common Stock
1075268
1000000
D
Convertible Notes
1.5
2018-09-30
2020-12-31
Common Stock
254666
382000
I
See Note
Convertible Notes
0.93
2019-01-15
2020-12-31
Common Stock
86021
80000
I
See Note
Warrants
1.4
2018-10-01
2023-09-30
Common Stock
17500
17500
I
See Note
Warrants
5
2016-08-19
2021-07-31
Common Stock
8307
8307
D
Warrants
6.15
2016-11-27
2021-05-26
Common Stock
13500
13500
D
Warrants
6.15
2016-09-01
2021-07-31
Common Stock
15925
15925
D
Warrants
3
2016-11-23
2021-11-30
Common Stock
8889
8889
D
Shares received in lieu of cash payment of director's fees.
Represent shares owned by Taglich Brothers, Inc., of which the Reporting Person is Managing Director.
Represents shares acquired for which Mr. Taglich is the custodian for his children under NY UGMA.
Vests as to 2,500 shares on March 31, 2020, and an additional 2,500 shares on each of June 30, 2020, September 30, 2020 and December 31, 2020.
Fully vested as of 12/31/2019.
Fully vested as of 12/31/2018.
Fully vested as of 01/01/2016.
Represents Issuer's 6% convertible notes received pursuant to amendment to Issuer's 8% convertible notes.
Does not include shares issued upon conversion for accrued interest on the Notes.
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.
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.
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.
Assignment of a portion of Placement Agent Warrants originally issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director.
/s/ Robert F. Taglich
2020-08-18