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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
March 08, 2017 Filed Jan 2, 2018 20:57 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $44,400.00 Strike: $3.30 $44,400.00
Disclosure

SEC source: 0001193805-18-000021 · e617575_4-michaelt.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 13,455 shares

Expires 2019-01-31

F13 · kind: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

F13 · ownership.nature: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

Read SEC document
March 08, 2017 Filed Jan 2, 2018 20:53 UTC OtherConvertible Notes · Derivative Not disclosed $44,400.00 Strike: $3.30 $44,400.00
Disclosure

SEC source: 0001193805-18-000019 · e617573_4-robertt.xml · derivative · entry 25

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 13,455 shares

Expires 2019-01-31

F14 · kind: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

F14 · ownership.nature: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

Read SEC document
March 08, 2017 Filed Jan 2, 2018 20:53 UTC PurchaseConvertible Notes · Derivative Not disclosed $100,000.00 Strike: $3.30 $100,000.00
Disclosure

SEC source: 0001193805-18-000019 · e617573_4-robertt.xml · derivative · entry 19

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 30,303 shares

Expires 2019-01-31

Read SEC document
March 08, 2017 Filed May 16, 2018 21:23 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $44,400.00 Strike: $3.30 $44,400.00
Disclosure

SEC source: 0001193805-18-000709 · e617988_4-michaelt.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 13,455 shares

Expires 2019-01-31

F14 · kind: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

F14 · ownership.nature: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

Read SEC document
March 08, 2017 Filed May 16, 2018 21:22 UTC
TAGLICH ROBERTDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $44,400.00 Strike: $3.30 $44,400.00
Disclosure

SEC source: 0001193805-18-000707 · e617986_4-robertt.xml · derivative · entry 25

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 13,455 shares

Expires 2019-01-31

F15 · kind: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

F15 · ownership.nature: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

Read SEC document
March 08, 2017 Filed May 16, 2018 21:22 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseConvertible Notes · Derivative Not disclosed $100,000.00 Strike: $3.30 $100,000.00
Disclosure

SEC source: 0001193805-18-000707 · e617986_4-robertt.xml · derivative · entry 19

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 30,303 shares

Expires 2019-01-31

Read SEC document
March 08, 2017 Filed May 22, 2018 21:02 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $44,400.00 Strike: $3.30 $44,400.00
Disclosure

SEC source: 0001193805-18-000744 · e618038_4-michaelt.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 13,455 shares

Expires 2019-01-31

F13 · kind: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

F13 · ownership.nature: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

Read SEC document
March 08, 2017 Filed May 22, 2018 21:00 UTC
TAGLICH ROBERTDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $44,400.00 Strike: $3.30 $44,400.00
Disclosure

SEC source: 0001193805-18-000742 · e618036_4-robertt.xml · derivative · entry 24

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 13,455 shares

Expires 2019-01-31

F14 · kind: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

F14 · ownership.nature: Represents Issuer's 2019 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of commissions earned for acting as placement agent for the sale of Issuer's 2019 Notes on March 8, 2017.

Read SEC document
March 08, 2017 Filed May 22, 2018 21:00 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseConvertible Notes · Derivative Not disclosed $100,000.00 Strike: $3.30 $100,000.00
Disclosure

SEC source: 0001193805-18-000742 · e618036_4-robertt.xml · derivative · entry 18

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 30,303 shares

Expires 2019-01-31

Read SEC document
March 08, 2017 Filed Feb 14, 2019 22:34 UTC
TAGLICH ROBERTDirector · 10% owner
OtherWarrants · Derivative 3,416 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-002635 · ownership.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 3,416

Underlying: Common Stock · 3,416 shares

Expires 2022-01-31

F5 · kind: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

F5 · ownership.nature: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

Read SEC document
March 08, 2017 Filed Feb 14, 2019 22:34 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 7,692 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-002635 · ownership.xml · derivative · entry 3

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,692

Underlying: Common Stock · 7,692 shares

Expires 2022-01-31

Read SEC document
March 08, 2017 Filed Feb 15, 2019 16:33 UTC Amendment
TAGLICH ROBERTDirector · 10% owner
OtherWarrants · Derivative 3,416 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-002687 · ownership.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 3,416

Underlying: Common Stock · 3,416 shares

Expires 2022-01-31

F6 · kind: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

F6 · ownership.nature: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

Read SEC document
March 08, 2017 Filed Feb 15, 2019 16:33 UTC Amendment
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 7,692 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-002687 · ownership.xml · derivative · entry 3

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,692

Underlying: Common Stock · 7,692 shares

Expires 2022-01-31

Read SEC document
March 08, 2017 Filed Apr 4, 2019 17:53 UTC
TAGLICH ROBERTDirector · 10% owner
OtherWarrants · Derivative 3,416 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-005774 · ownership.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 3,416

Underlying: Common Stock · 3,416 shares

Expires 2022-01-31

F6 · kind: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

F6 · ownership.nature: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

Read SEC document
March 08, 2017 Filed Apr 4, 2019 17:53 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 7,692 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-005774 · ownership.xml · derivative · entry 3

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,692

Underlying: Common Stock · 7,692 shares

Expires 2022-01-31

Read SEC document
March 08, 2017 Filed Aug 14, 2019 14:56 UTC
TAGLICH ROBERTDirector · 10% owner
OtherWarrants · Derivative 3,416 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-015691 · ownership.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 3,416

Underlying: Common Stock · 3,416 shares

Expires 2022-01-31

F6 · kind: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

F6 · ownership.nature: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

Read SEC document
March 08, 2017 Filed Aug 14, 2019 14:56 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 7,692 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-015691 · ownership.xml · derivative · entry 3

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,692

Underlying: Common Stock · 7,692 shares

Expires 2022-01-31

Read SEC document
March 08, 2017 Filed Dec 5, 2019 19:36 UTC
TAGLICH ROBERTDirector · 10% owner
OtherWarrants · Derivative 3,416 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-025380 · ownership.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 3,416

Underlying: Common Stock · 3,416 shares

Expires 2022-01-31

F6 · kind: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

F6 · ownership.nature: Represents warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's 8% convertible notes, in lieu of cash payment of commissions.

Read SEC document
March 08, 2017 Filed Dec 5, 2019 19:36 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseWarrants · Derivative 7,692 $0.00 Strike: $3.30 $0.00
Disclosure

SEC source: 0001213900-19-025380 · ownership.xml · derivative · entry 3

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,692

Underlying: Common Stock · 7,692 shares

Expires 2022-01-31

Read SEC document
February 28, 2017 Filed Apr 12, 2017 21:44 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-000633 · e615949_4-michaelt.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F10 · derivative.exercise_price: Exercise price is $2.25 per share as to $2,430 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F11 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

F11 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Apr 12, 2017 21:44 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $6,805.00 Strike: $2.63 $6,805.00
Disclosure

SEC source: 0001193805-17-000633 · e615949_4-michaelt.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 2,587 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Apr 12, 2017 21:44 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $21,480.00 Strike: $2.25 $21,480.00
Disclosure

SEC source: 0001193805-17-000633 · e615949_4-michaelt.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 9,547 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Apr 12, 2017 21:41 UTC OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-000631 · e615948_4-robertt.xml · derivative · entry 22

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F11 · derivative.exercise_price: Exercise price is $2.25 per share as to $2,406 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F12 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

F12 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Apr 12, 2017 21:41 UTC OtherConvertible Notes · Derivative Not disclosed $4,537.00 Strike: $2.63 $4,537.00
Disclosure

SEC source: 0001193805-17-000631 · e615948_4-robertt.xml · derivative · entry 15

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,725 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Apr 12, 2017 21:41 UTC OtherConvertible Notes · Derivative Not disclosed $2,148.00 Strike: $2.25 $2,148.00
Disclosure

SEC source: 0001193805-17-000631 · e615948_4-robertt.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 955 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed May 16, 2017 17:36 UTC OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-000887 · e616166_4-robertt.xml · derivative · entry 23

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F11 · derivative.exercise_price: Exercise price is $2.25 per share as to $2,406 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F12 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

F12 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed May 16, 2017 17:36 UTC OtherConvertible Notes · Derivative Not disclosed $4,537.00 Strike: $2.63 $4,537.00
Disclosure

SEC source: 0001193805-17-000887 · e616166_4-robertt.xml · derivative · entry 15

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,725 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed May 16, 2017 17:36 UTC OtherConvertible Notes · Derivative Not disclosed $2,148.00 Strike: $2.25 $2,148.00
Disclosure

SEC source: 0001193805-17-000887 · e616166_4-robertt.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 955 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed May 16, 2017 17:34 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-000885 · e616164_4-michaelt.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F10 · derivative.exercise_price: Exercise price is $2.25 per share as to $2,430 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F11 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

F11 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed May 16, 2017 17:34 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $6,805.00 Strike: $2.63 $6,805.00
Disclosure

SEC source: 0001193805-17-000885 · e616164_4-michaelt.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 2,587 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed May 16, 2017 17:34 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $21,480.00 Strike: $2.25 $21,480.00
Disclosure

SEC source: 0001193805-17-000885 · e616164_4-michaelt.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 9,547 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Aug 4, 2017 18:18 UTC OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-001395 · e616434_4-robertt.xml · derivative · entry 23

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F11 · derivative.exercise_price: Exercise price is $2.25 per share as to $2,406 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F12 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

F12 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Aug 4, 2017 18:18 UTC OtherConvertible Notes · Derivative Not disclosed $4,537.00 Strike: $2.63 $4,537.00
Disclosure

SEC source: 0001193805-17-001395 · e616434_4-robertt.xml · derivative · entry 15

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,725 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Aug 4, 2017 18:18 UTC OtherConvertible Notes · Derivative Not disclosed $2,148.00 Strike: $2.25 $2,148.00
Disclosure

SEC source: 0001193805-17-001395 · e616434_4-robertt.xml · derivative · entry 14

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 955 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Aug 4, 2017 16:47 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-001390 · e616432_4-michaelt.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F10 · derivative.exercise_price: Exercise price is $2.25 per share as to $2,430 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F11 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

F11 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Aug 4, 2017 16:47 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $6,805.00 Strike: $2.63 $6,805.00
Disclosure

SEC source: 0001193805-17-001390 · e616432_4-michaelt.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 2,587 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Aug 4, 2017 16:47 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $21,480.00 Strike: $2.25 $21,480.00
Disclosure

SEC source: 0001193805-17-001390 · e616432_4-michaelt.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 9,547 shares

Expires 2018-11-30

F5 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Dec 12, 2017 20:45 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-003591 · e617540_4-michaelt.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F9 · derivative.exercise_price: Conversion price is $2.25 per share as to $2,430 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F10 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

F10 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Dec 12, 2017 20:45 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $6,805.00 Strike: $2.63 $6,805.00
Disclosure

SEC source: 0001193805-17-003591 · e617540_4-michaelt.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 2,587 shares

Expires 2018-11-30

F6 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Dec 12, 2017 20:45 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $21,480.00 Strike: $2.25 $21,480.00
Disclosure

SEC source: 0001193805-17-003591 · e617540_4-michaelt.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 9,547 shares

Expires 2018-11-30

F6 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Dec 12, 2017 20:43 UTC OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-17-003589 · e617538_4-robertt.xml · derivative · entry 21

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F10 · derivative.exercise_price: Conversion price is $2.25 per share as to $2,406 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F11 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

F11 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Dec 12, 2017 20:43 UTC OtherConvertible Notes · Derivative Not disclosed $4,537.00 Strike: $2.63 $4,537.00
Disclosure

SEC source: 0001193805-17-003589 · e617538_4-robertt.xml · derivative · entry 16

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,725 shares

Expires 2018-11-30

F7 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Dec 12, 2017 20:43 UTC OtherConvertible Notes · Derivative Not disclosed $2,148.00 Strike: $2.25 $2,148.00
Disclosure

SEC source: 0001193805-17-003589 · e617538_4-robertt.xml · derivative · entry 15

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 955 shares

Expires 2018-11-30

F7 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Jan 2, 2018 20:57 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-18-000021 · e617575_4-michaelt.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F9 · derivative.exercise_price: Conversion price is $2.25 per share as to $2,430 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F10 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

F10 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Jan 2, 2018 20:57 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $6,805.00 Strike: $2.63 $6,805.00
Disclosure

SEC source: 0001193805-18-000021 · e617575_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 · 2,587 shares

Expires 2018-11-30

F6 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Jan 2, 2018 20:57 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $21,480.00 Strike: $2.25 $21,480.00
Disclosure

SEC source: 0001193805-18-000021 · e617575_4-michaelt.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 9,547 shares

Expires 2018-11-30

F6 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Jan 2, 2018 20:53 UTC OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-18-000019 · e617573_4-robertt.xml · derivative · entry 22

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F10 · derivative.exercise_price: Conversion price is $2.25 per share as to $2,406 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F11 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

F11 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document
February 28, 2017 Filed Jan 2, 2018 20:53 UTC OtherConvertible Notes · Derivative Not disclosed $4,537.00 Strike: $2.63 $4,537.00
Disclosure

SEC source: 0001193805-18-000019 · e617573_4-robertt.xml · derivative · entry 17

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,725 shares

Expires 2018-11-30

F7 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed Jan 2, 2018 20:53 UTC OtherConvertible Notes · Derivative Not disclosed $2,148.00 Strike: $2.25 $2,148.00
Disclosure

SEC source: 0001193805-18-000019 · e617573_4-robertt.xml · derivative · entry 16

TAGLICH ROBERT · CIK 0001353439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 955 shares

Expires 2018-11-30

F7 · kind: Represents convertible notes received in lieu of cash payment of accrued interest on February 28, 2017.

Read SEC document
February 28, 2017 Filed May 16, 2018 21:23 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherConvertible Notes · Derivative Not disclosed $4,538.00 $4,538.00
Disclosure

SEC source: 0001193805-18-000709 · e617988_4-michaelt.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,880 shares

Expires 2018-11-30

F10 · derivative.exercise_price: Conversion price is $2.25 per share as to $2,430 principal amount of 2018 Notes and $2.63 per share as $2,132 principal amount of 2018 Notes issued in lieu of cash payment of accrued interest on the 2018 Notes issued in November and December 2016, respectively.

F11 · kind: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

F11 · ownership.nature: Represents 2018 Notes issued to Taglich Brothers, Inc., of which the Reporting Person is Chairman and President, in lieu of cash payment of accrued interest on the 2018 Notes.

Read SEC document

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