0001213900-21-041344.txt : 20210810
0001213900-21-041344.hdr.sgml : 20210810
20210810142926
ACCESSION NUMBER: 0001213900-21-041344
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210809
FILED AS OF DATE: 20210810
DATE AS OF CHANGE: 20210810
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: 211159488
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
2021-08-09
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
2021-08-09
4
P
0
10000
1.2469
A
2296703
D
Common Stock
239946
I
See Note
Common Stock
44760
I
See Note
Stock Options
1.32
2027-12-31
Common Stock
10000
10000
D
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 (right to purchase)
1.69
2018-01-02
2022-12-31
Common Stock
3000
3000
D
Convertible Notes
1.5
2018-09-30
2023-07-01
Common Stock
507719
761579
D
Convertible Notes
0.93
2019-01-15
2023-07-01
Common Stock
1103225
1026000
D
Convertible Notes
1.5
2018-09-30
2023-07-01
Common Stock
142161
213242
I
See Note
Convertible Notes
1.5
2018-09-30
2023-07-01
Common Stock
78111
117166
I
See Note
Convertible Notes
0.93
2019-01-15
2023-07-01
Common Stock
30108
28000
I
See Note
Warrants
1.4
2018-10-01
2023-09-30
Common Stock
17500
17500
I
See Note
Warrants
3
2016-11-23
2021-11-30
Common Stock
8889
8889
D
Warrants
3
2016-12-22
2021-11-30
Common Stock
15029
23918
D
Warrants
3.71
2017-02-07
2022-01-31
Common Stock
19230
19230
D
Warrants
3.3
2017-03-08
2022-01-31
Common Stock
7692
7692
D
Warrants
3
2016-11-22
2021-11-30
Common Stock
15344
39262
D
Warrants
3
2016-12-22
2021-11-30
Common Stock
12540
51802
D
Warrants
4.45
2017-02-17
2022-01-31
Common Stock
7500
7500
D
Warrants
3.3
2017-03-08
2022-01-31
Common Stock
4374
12542
D
Warrants
3.78
2017-03-15
2022-01-31
Common Stock
4306
4306
D
Warrants
4
2017-03-21
2022-01-31
Common Stock
869
869
D
Warrants
1.5
2017-05-12
2022-05-12
Common Stock
98590
98590
D
Warrants
1.5
2017-11-29
2022-11-30
Common Stock
24000
24000
D
Warrants
3.3
2017-03-08
2022-01-31
Common Stock
3416
3416
I
See Note
Warrants
3.78
2017-03-15
2022-01-31
Common Stock
3354
3354
I
See Note
Warrants
4
2017-03-21
2022-01-31
Common Stock
615
615
I
See Note
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, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.
Represents Issuer's 6% convertible notes received pursuant to amendment to Issuer's 8% convertible notes and includes accrued interest through December 31, 2020.
Includes accrued interest on the Notes through December 31, 2020 and the shares that would be issued upon conversion for the interest accrued through December 31, 2020. Does not include shares to be issued upon conversion for interest accrued after December 31, 2020.
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 6% convertible notes acquired from Taglich Brothers, Inc., of which the Reporting Person is Managing Director, originally issued to Taglich Brothers 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.
Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.
Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.
Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.
/s/ Robert F. Taglich
2021-08-10