SEC Form 4 · accession 0001193805-16-003413
AIR INDUSTRIES GROUP · AIRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert C Schroeder
Director
Period of report
Jun 2, 2016
Accepted (ET)
Jun 6, 2016 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001009891
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 50,554 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to purchase) | $6.00 | Apr 23, 2013 | A | 750 | A | Apr 23, 2013 | Apr 23, 2018 | Common Stock | 750 | 6,750 | D |
| Stock Options (right to purchase) | $7.86 | Sep 30, 2013 | A | 750 | A | Sep 30, 2013 | Sep 30, 2018 | Common Stock | 750 | 7,500 | D |
| Stock Options (right to purchase) | $8.98 | Dec 31, 2013 | A | 750 | A | Dec 31, 2013 | Dec 31, 2018 | Common Stock | 750 | 8,250 | D |
| Stock Options (right to purchase) | $9.38 | Mar 31, 2014 | A | 750 | A | Mar 31, 2014 | Mar 31, 2019 | Common Stock | 750 | 9,000 | D |
| Warrants (1) (right to purchase)F1 | $6.30 | Jun 22, 2012 | A | 20,005 | A | Jun 22, 2012 | Jun 22, 2017 | Common Stock | 20,005 | 29,005 | I |
| Stock Options (right to purchase) | $11.73 | May 16, 2014 | A | 750 | A | May 16, 2014 | May 15, 2019 | Common Stock | 750 | 29,755 | D |
| Warrants (right to purchase) | $11.25 | Jul 28, 2014 | A | 7,580 | A | May 29, 2015 | May 28, 2019 | Common Stock | 7,580 | 37,335 | D |
| Stock Options (right to purchase) | $9.24 | Aug 21, 2014 | A | 750 | A | Aug 21, 2014 | Aug 20, 2019 | Common Stock | 750 | 38,085 | D |
| Stock Options (right to purchase) | $10.26 | Nov 24, 2014 | A | 1,750 | A | Nov 24, 2014 | Nov 23, 2019 | Common Stock | 1,750 | 39,835 | D |
| Stock Options (right to purchase) | $10.05 | Apr 6, 2015 | A | 750 | A | Apr 6, 2015 | Apr 5, 2020 | Common Stock | 750 | 40,585 | D |
| Stock Options (right to purchase) | $10.05 | Apr 6, 2015 | A | 750 | A | Jul 1, 2015 | Apr 5, 2020 | Common Stock | 750 | 41,335 | D |
| Stock Options (right to purchase) | $10.05 | Apr 6, 2015 | A | 750 | A | Oct 1, 2015 | Apr 5, 2020 | Common Stock | 750 | 42,085 | D |
| Stock Options (right to purchase) | $10.05 | Apr 6, 2015 | A | 750 | A | Jan 1, 2016 | Apr 5, 2020 | Common Stock | 750 | 42,835 | D |
| Stock Options (right to purchase) | $4.64 | Jun 2, 2016 | A | 750 | A | Jun 2, 2016 | Jun 1, 2021 | Common Stock | 750 | 43,585 | D |
| Stock Options (right to purchase) | $4.64 | Jun 2, 2016 | A | 750 | A | Aug 1, 2016 | Jun 1, 2021 | Common Stock | 750 | 44,335 | D |
| Stock Options (right to purchase) | $4.64 | Jun 2, 2016 | A | 750 | A | Nov 1, 2016 | Jun 1, 2021 | Common Stock | 750 | 45,085 | D |
| Stock Options (right to purchase) | $4.64 | Jun 2, 2016 | A | 750 | A | Feb 1, 2017 | Jun 1, 2021 | Common Stock | 750 | 45,835 | D |
Explanation of responses
- F1Reporting Person's portion of a total 118,585 Placement Agent Warrants received by Taglich Brothers, Inc., which acted as placement agent for the sale of Issuer's common stock in June and July of 2012.