0001213900-21-000644.txt : 20210106 0001213900-21-000644.hdr.sgml : 20210106 20210106151821 ACCESSION NUMBER: 0001213900-21-000644 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 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: 21510229 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 X0306 4 2021-01-04 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 2021-01-04 4 J 0 12857 1.23 A 2243162 D Common Stock 239946 I See Note Common Stock 44760 I See Note Stock Options 2.38 2020-12-31 2026-12-31 Common Stock 10000 10000 D Stock Options 1.28 2019-12-31 2025-12-31 Common Stock 10000 10000 D Stock Options 1.59 2018-12-31 2023-05-31 Common Stock 13000 13000 D Stock Options 4.64 2017-12-31 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 1103225 1026000 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 30107 28000 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. 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 2021-01-06