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AIRI

AIR INDUSTRIES GROUP

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7887
SEC CIK
0001009891
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307

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 15, 2017 Filed Feb 12, 2019 22:01 UTC GrantStock Options · Derivative 270,000 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-002244 · ownership.xml · derivative · entry 5

Melluzzo Luciano M · CIK 0001344076 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,000

Underlying: Common stock · 270,000 shares

Expires 2024-09-30

F1 · derivative.exercise_date: Options to purchase 90,000 shares vest on October 1, 2019.

Read SEC document
August 03, 2017 Filed Aug 4, 2017 18:18 UTC GrantCommon Stock 41,529 $1.36 $56,479.44
Disclosure

SEC source: 0001193805-17-001395 · e616434_4-robertt.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,432

Read SEC document
August 03, 2017 Filed Aug 4, 2017 18:15 UTC GrantCommon Stock 20,665 $1.36 $28,104.40
Disclosure

SEC source: 0001193805-17-001393 · e616428_4-brand.xml · nonDerivative · entry 1

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,665

Read SEC document
August 03, 2017 Filed Aug 4, 2017 15:37 UTC GrantCommon Stock 10,333 $1.36 $14,052.88
Disclosure

SEC source: 0001193805-17-001385 · e616429_4-schroeder.xml · nonDerivative · entry 1

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,012

Read SEC document
August 03, 2017 Filed Aug 4, 2017 16:47 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantCommon Stock 41,529 $1.36 $56,479.44
Disclosure

SEC source: 0001193805-17-001390 · e616432_4-michaelt.xml · nonDerivative · entry 1

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,026

Read SEC document
August 03, 2017 Filed Jan 2, 2018 20:48 UTC GrantCommon Stock 10,333 $1.36 $14,052.88
Disclosure

SEC source: 0001193805-18-000016 · e617570_4-schroeder.xml · nonDerivative · entry 1

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,012

Read SEC document
August 03, 2017 Filed Jan 2, 2018 20:45 UTC GrantCommon Stock 20,665 $1.36 $28,104.40
Disclosure

SEC source: 0001193805-18-000014 · e617568_4-brand.xml · nonDerivative · entry 1

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,665

Read SEC document
August 03, 2017 Filed May 16, 2018 21:27 UTC GrantCommon Stock 20,665 $1.36 $28,104.40
Disclosure

SEC source: 0001193805-18-000715 · e617994_4-brand.xml · nonDerivative · entry 1

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,665

Read SEC document
August 03, 2017 Filed May 16, 2018 21:24 UTC GrantCommon Stock 10,333 $1.36 $14,052.88
Disclosure

SEC source: 0001193805-18-000711 · e617990_4-schroeder.xml · nonDerivative · entry 1

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,012

Read SEC document
July 24, 2017 Filed Aug 4, 2017 11:39 UTC
RECCA MICHAEL EChief Financial Officer
GrantStock options · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001193805-17-001387 · e616431_4-michael.xml · derivative · entry 2

RECCA MICHAEL E · CIK 0000923781 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F1 · derivative.exercise_date: Vests in annual installments of 10,000 shares commecing July 24, 2018.

Read SEC document
July 24, 2017 Filed Aug 4, 2017 20:57 UTC
Rettaliata PeterDirector · Acting President and CEO
GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001193805-17-001401 · e616430_4-peter.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director · Acting President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F1 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Aug 4, 2017 18:15 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001193805-17-001393 · e616428_4-brand.xml · derivative · entry 12

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

Read SEC document
July 24, 2017 Filed Jan 2, 2018 20:52 UTC
Rettaliata PeterDirector · Acting President and CEO
GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001193805-18-000018 · e617572_4-peter.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director · Acting President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F1 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Jan 2, 2018 20:45 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001193805-18-000014 · e617568_4-brand.xml · derivative · entry 12

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

Read SEC document
July 24, 2017 Filed May 16, 2018 21:27 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001193805-18-000715 · e617994_4-brand.xml · derivative · entry 12

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

Read SEC document
July 24, 2017 Filed May 16, 2018 21:25 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001193805-18-000712 · e617991_4-peter.xml · derivative · entry 3

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F1 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Jun 25, 2018 19:45 UTC
Richmond David S.10% owner · See Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
PurchaseCommon Stock 1,633 $1.49 $2,429.58
Disclosure

SEC source: 0000921895-18-002016 · form411265004_06252018.xml · nonDerivative · entry 1

Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1

RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1

RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1

Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1

Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2

Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan

Disclosed balance after: 3,130

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own.

F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16.

F5 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest.

F4 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan.

Read SEC document
July 24, 2017 Filed Jan 18, 2019 15:03 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-000921 · ownership.xml · derivative · entry 3

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F2 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Jan 18, 2019 15:01 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-000919 · ownership.xml · derivative · entry 10

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

Read SEC document
July 24, 2017 Filed Feb 12, 2019 17:05 UTC
RECCA MICHAEL EChief Financial Officer
GrantStock options · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-002247 · ownership.xml · derivative · entry 2

RECCA MICHAEL E · CIK 0000923781 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F1 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Feb 14, 2019 17:22 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-002469 · ownership.xml · derivative · entry 3

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F1 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Apr 4, 2019 17:48 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-005766 · ownership.xml · derivative · entry 3

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F2 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Aug 14, 2019 14:53 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-015687 · ownership.xml · derivative · entry 3

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F1 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
July 24, 2017 Filed Dec 5, 2019 19:32 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-025374 · ownership.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

F2 · derivative.exercise_date: Vests in annual installments of 10,000 shares commencing July 24, 2018.

Read SEC document
May 12, 2017 Filed May 16, 2017 17:36 UTC PurchaseConvertible Notes · Derivative Not disclosed $751,664.00 Strike: $2.49 $774,217.00
Disclosure

SEC source: 0001193805-17-000887 · e616166_4-robertt.xml · derivative · entry 20

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 310,930 shares

Expires 2018-05-12

Read SEC document
May 12, 2017 Filed May 16, 2017 17:37 UTC PurchaseWarrants · Derivative 93,279 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001193805-17-000888 · e616167_4-robertt.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

Read SEC document
May 12, 2017 Filed May 16, 2017 17:35 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001193805-17-000886 · e616165_4-michaelt.xml · derivative · entry 6

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

Read SEC document
May 12, 2017 Filed May 16, 2017 17:34 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseConvertible Notes · Derivative Not disclosed $751,664.00 Strike: $2.49 $774,217.00
Disclosure

SEC source: 0001193805-17-000885 · e616164_4-michaelt.xml · derivative · entry 16

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 310,930 shares

Expires 2018-05-12

Read SEC document
May 12, 2017 Filed Aug 4, 2017 18:18 UTC PurchaseConvertible Notes · Derivative Not disclosed $751,664.00 Strike: $2.49 $774,217.00
Disclosure

SEC source: 0001193805-17-001395 · e616434_4-robertt.xml · derivative · entry 20

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 310,930 shares

Expires 2018-05-12

Read SEC document
May 12, 2017 Filed Aug 4, 2017 18:21 UTC PurchaseWarrants · Derivative 93,279 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001193805-17-001397 · e616435_4-robertt.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

Read SEC document
May 12, 2017 Filed Aug 4, 2017 16:47 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001193805-17-001391 · e616433_4-michaelt.xml · derivative · entry 6

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

Read SEC document
May 12, 2017 Filed Aug 4, 2017 16:47 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseConvertible Notes · Derivative Not disclosed $751,664.00 Strike: $2.49 $774,217.00
Disclosure

SEC source: 0001193805-17-001390 · e616432_4-michaelt.xml · derivative · entry 16

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 310,930 shares

Expires 2018-05-12

Read SEC document
May 12, 2017 Filed Dec 12, 2017 20:46 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-17-003592 · e617541_4-michaelt.xml · derivative · entry 6

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F2 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed Dec 12, 2017 20:44 UTC PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-17-003590 · e617539_4-robertt.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed Jan 2, 2018 20:58 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-18-000022 · e617576_4-michaelt.xml · derivative · entry 6

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F2 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed Jan 2, 2018 20:55 UTC PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-18-000020 · e617574_4-robertt.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed May 16, 2018 21:24 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-18-000710 · e617989_4-michaelt.xml · derivative · entry 6

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F2 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed May 16, 2018 21:22 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-18-000708 · e617987_4-robertt.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed May 22, 2018 21:03 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-18-000745 · e618039_4-michaelt.xml · derivative · entry 6

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F2 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed May 22, 2018 21:01 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001193805-18-000743 · e618037_4-robertt.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed Jan 17, 2019 23:20 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-000887 · ownership.xml · derivative · entry 30

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F14 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed Jan 17, 2019 23:19 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-000885 · ownership.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

Read SEC document
May 12, 2017 Filed Feb 14, 2019 22:36 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-002637 · ownership.xml · derivative · entry 30

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F15 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

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May 12, 2017 Filed Feb 14, 2019 22:34 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 93,279 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-002635 · ownership.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,279

Underlying: Common Stock · 93,279 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

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May 12, 2017 Filed Feb 15, 2019 16:33 UTC Amendment
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 98,590 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-002687 · ownership.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,590

Underlying: Common Stock · 98,590 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

F4 · shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.

F4 · derivative.underlying_shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.

F4 · balance_after: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.

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May 12, 2017 Filed Feb 15, 2019 16:27 UTC Amendment
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 98,591 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-002681 · ownership.xml · derivative · entry 30

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,591

Underlying: Common Stock · 98,591 shares

Expires 2022-05-12

F15 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

F16 · shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F16 · derivative.underlying_shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F16 · balance_after: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

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May 12, 2017 Filed Feb 19, 2019 15:46 UTC Amendment
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 98,591 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-002781 · ownership.xml · derivative · entry 30

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,591

Underlying: Common Stock · 98,591 shares

Expires 2022-05-12

F14 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

F15 · shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F15 · derivative.underlying_shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F15 · balance_after: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

Read SEC document
May 12, 2017 Filed Apr 4, 2019 17:53 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 98,590 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-005774 · ownership.xml · derivative · entry 10

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,590

Underlying: Common Stock · 98,590 shares

Expires 2022-05-12

F3 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

F4 · shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.

F4 · derivative.underlying_shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.

F4 · balance_after: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018.

Read SEC document
May 12, 2017 Filed Apr 4, 2019 17:51 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 98,591 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-005770 · ownership.xml · derivative · entry 29

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,591

Underlying: Common Stock · 98,591 shares

Expires 2022-05-12

F14 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

F15 · shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F15 · derivative.underlying_shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F15 · balance_after: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

Read SEC document
May 12, 2017 Filed Aug 14, 2019 15:36 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseWarrants · Derivative 98,591 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001213900-19-015705 · ownership.xml · derivative · entry 27

TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,591

Underlying: Common Stock · 98,591 shares

Expires 2022-05-12

F14 · derivative.exercise_price: Exercise price was reduced from $2.49 to $1.50 per share, the public offering price of the Issuer's common stock in the Issuer's public offering which closed on July 12, 2017, pursuant to the terms of the warrant.

F15 · shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F15 · derivative.underlying_shares: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

F15 · balance_after: Includes warrants previously owned by a partnership of which Reporting Person was a General Partner, received upon liquidation at the end of 2018

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.