SEC Form 4 · accession 0001193805-18-000016
AIR INDUSTRIES GROUP · AIRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert C Schroeder
Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 2, 2018 · 3:48 pm EST
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 | Aug 3, 2017 | A | 10,333 | $1.36 | A | 62,012 | 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 | 750 | D |
| Stock Options (right to purchase) | $7.86 | Sep 30, 2013 | A | 750 | A | Sep 30, 2013 | Sep 30, 2018 | Common Stock | 750 | 750 | D |
| Stock Options (right to purchase) | $8.98 | Dec 31, 2013 | A | 750 | A | Dec 31, 2013 | Dec 31, 2018 | Common Stock | 750 | 750 | D |
| Stock Options (right to purchase) | $9.38 | Mar 31, 2014 | A | 750 | A | Mar 31, 2014 | Mar 31, 2019 | Common Stock | 750 | 750 | D |
| Stock Options (right to purchase) | $11.73 | May 16, 2014 | A | 750 | A | May 16, 2014 | May 15, 2019 | Common Stock | 750 | 750 | D |
| Stock Options (right to purchase) | $9.24 | Aug 21, 2014 | A | 750 | A | Aug 21, 2014 | Aug 20, 2019 | Common Stock | 750 | 750 | 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 | 1,750 | D |
| Stock Options (right to purchase)F1 | $10.05 | Apr 6, 2015 | A | 3,000 | A | — | Apr 5, 2020 | Common Stock | 3,000 | 3,000 | D |
| Stock Options (right to purchase)F2 | $4.64 | Jun 2, 2016 | A | 3,000 | A | — | Jun 1, 2021 | Common Stock | 3,000 | 3,000 | D |
| Stock Options (right to purchase) | $1.69 | Jan 2, 2018 | A | 3,000 | A | Jan 2, 2018 | Dec 31, 2022 | Common Stock | 3,000 | 3,000 | D |
| Warrants (right to purchase) | $11.25 | Jul 28, 2014 | J | 7,580 | A | May 29, 2015 | May 28, 2019 | Common Stock | 7,580 | 7,580 | D |
| Warrants (right to purchase) | $6.15 | Oct 13, 2016 | J | 8,110 | A | Nov 27, 2016 | May 26, 2021 | Common Stock | 8,110 | 8,110 | D |
| Warrants (right to purchase) | $6.15 | Mar 15, 2017 | J | 10,500 | A | Sep 1, 2016 | Jul 31, 2021 | Common Stock | 10,500 | 10,500 | D |
| Warrants (right to purchase) | $3.00 | Mar 15, 2017 | J | 11,278 | A | Nov 23, 2016 | Nov 30, 2021 | Common Stock | 11,278 | 11,278 | D |
| Warrants (right to purchase) | $3.00 | Mar 15, 2017 | J | 6,450 | A | Dec 22, 2016 | Nov 30, 2021 | Common Stock | 6,450 | 17,728 | D |
| Warrants (right to purchase) | $4.45 | Mar 15, 2017 | J | 5,000 | A | Feb 17, 2017 | Jan 31, 2022 | Common Stock | 5,000 | 5,000 | D |
| Warrants (right to purchase) | $3.30 | Mar 15, 2017 | J | 2,913 | A | Mar 8, 2017 | Jan 31, 2022 | Common Stock | 2,913 | 2,913 | D |
| Warrants (right to purchase) | $3.78 | Mar 15, 2017 | J | 2,868 | A | Mar 15, 2017 | Jan 31, 2022 | Common Stock | 2,868 | 2,868 | D |
| Warrants (right to purchase) | $4.00 | Mar 21, 2017 | J | 579 | A | Mar 21, 2017 | Jan 31, 2022 | Common Stock | 579 | 579 | D |
Explanation of responses
- F1Fully vested as of 11/01/2016.
- F2Fully vested as of 01/01/2016.
- F3Assignment of a portion of Placement Agent Warrants originally issued to Taglich Brothers, Inc., of which the Reporting Person is Vice President - Investment Banking.