SEC Form 4 · accession 0001213900-19-000920
AIR INDUSTRIES GROUP · AIRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Buonanno
Director
Period of report
Jan 4, 2019
Accepted (ET)
Jan 18, 2019 · 10:02 am 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 | Jan 4, 2019 | J | 9,332 | $0.83 | A | 46,024 | 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) | $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)F2 | $10.05 | Apr 6, 2015 | A | 3,000 | A | — | Apr 5, 2020 | Common Stock | 3,000 | 3,000 | D |
| Stock Options (right to purchase)F3 | $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 |
| Stock Options (right to purchaseF4 | $1.59 | May 14, 2018 | A | 13,000 | A | — | May 31, 2023 | Common Stock | 13,000 | 13,000 | D |
| Warrants | $5.00 | Aug 19, 2016 | P | 1,016 | A | Aug 19, 2016 | Jul 31, 2021 | Common Stock | 1,016 | 1,016 | D |
Explanation of responses
- F1Shares issued in lieu of cash payment of director's fees.
- F2Fully vested as of January 1, 2016.
- F3Fully vested as of February 1, 2017.
- F4Fully vested as of December 31, 2018.