0001213900-20-009090.txt : 20200413 0001213900-20-009090.hdr.sgml : 20200413 20200413174945 ACCESSION NUMBER: 0001213900-20-009090 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200413 FILED AS OF DATE: 20200413 DATE AS OF CHANGE: 20200413 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: 20789530 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 2020-04-13 0 0001009891 AIR INDUSTRIES GROUP AIRI 0001353439 TAGLICH ROBERT 790 NEW YORK AVENUE, SUITE 209 HUNTINGTON NY 11743 1 0 1 0 Common Stock 2020-04-13 4 J 0 14779 1.07 A 2166180 D Common Stock 233023 I See Note Common Stock 27891 I See Note Stock Options 2.38 2020-03-31 2026-12-31 Common Stock 10000 10000 D Stock Options 1.28 2025-12-31 Common Stock 10000 10000 D Stock Options 1.59 2023-05-31 Common Stock 13000 13000 D Stock Options 4.64 2021-06-01 Common Stock 3000 3000 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 2020-12-31 Common Stock 433333 650000 D Convertible Notes 0.93 2019-01-15 2020-12-31 Common Stock 1075268 1000000 D Convertible Notes 1.5 2018-09-30 2020-12-31 Common Stock 254666 382000 I See Note Convertible Notes 0.93 2019-01-15 2020-12-31 Common Stock 86021 80000 I See Note Warrants 1.4 2018-10-01 2023-09-30 Common Stock 17500 17500 I See Note Warrants 5 2016-08-19 2021-07-31 Common Stock 8307 8307 D Warrants 6.15 2016-11-27 2021-05-26 Common Stock 13500 13500 D Warrants 6.15 2016-09-01 2021-07-31 Common Stock 15925 15925 D Warrants 3 2016-11-23 2021-11-30 Common Stock 8889 8889 D Shares received in lieu of cash payment of director's fees. Represent shares acquired for which Mr. Taglich is the custodian for his children under NY UGMA. Represents shares owned by Taglich Brothers, Inc., of which the Reporting Person is Managing Director. Vests as to 2,500 shares on March 31, 2020, and an additional 2,500 shares on each of June 30, 2020, September 30, 2020 and December 31, 2020. Fully vested as of 12/31/2019. Fully vested as of 12/31/2018. Fully vested as of 01/01/2016. Represents Issuer's 6% convertible notes received pursuant to amendment to Issuer's 8% convertible notes. Does not include shares issued upon conversion for accrued interest on the Notes. 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 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. /s/ Robert F. Taglich 2020-04-13