SEC Form 4 · accession 0001193805-18-000018
AIR INDUSTRIES GROUP · AIRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Rettaliata
Officer — Acting President and CEO · Director
Period of report
Dec 29, 2017
Accepted (ET)
Jan 2, 2018 · 3:52 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 | Dec 29, 2017 | J | 40,407 | $1.65 | A | 52,952 | 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) | $6.60 | Sep 16, 2013 | A | 18,750 | A | Sep 1, 2014 | Aug 31, 2020 | Common Stock | 18,750 | 18,750 | D |
| Stock Options (right to purchase) | $10.52 | Jan 2, 2015 | A | 750 | A | Jan 2, 2015 | Dec 31, 2019 | Common Stock | 750 | 750 | D |
| Stock Options (right to purchase)F1 | $1.42 | Jul 24, 2017 | A | 50,000 | A | Jul 24, 2018 | Jul 24, 2024 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Vests in annual installments of 10,000 shares commencing July 24, 2018.