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AIRI

AIR INDUSTRIES GROUP

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7887
SEC CIK
0001009891
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307

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
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May 202600
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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
April 06, 2021 Filed Apr 8, 2021 21:23 UTC
TAGLICH ROBERTDirector · 10% owner
OtherCommon Stock 11,377 $1.39 $15,814.03
Disclosure

SEC source: 0001213900-21-020838 · ownership.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,254,539

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:22 UTC OtherCommon Stock 6,132 $1.39 $8,523.48
Disclosure

SEC source: 0001213900-21-020836 · ownership.xml · nonDerivative · entry 1

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,470

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:21 UTC OtherCommon Stock 8,506 $1.39 $11,823.34
Disclosure

SEC source: 0001213900-21-020833 · ownership.xml · nonDerivative · entry 1

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,224

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:20 UTC OtherCommon Stock 11,377 $1.39 $15,814.03
Disclosure

SEC source: 0001213900-21-020830 · ownership.xml · nonDerivative · entry 1

TAGLICH MICHAEL N · CIK 0001024533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,927,948

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
March 24, 2021 Filed Apr 9, 2021 16:49 UTC
RECCA MICHAEL EChief Financial Officer
GrantStock options · Derivative 75,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001213900-21-021043 · ownership.xml · derivative · entry 2

RECCA MICHAEL E · CIK 0000923781 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-03-31

F1 · derivative.exercise_date: Vests in equal annual installments of 25,000 shares commencing March 24, 2021.

Read SEC document
March 24, 2021 Filed Apr 9, 2021 20:51 UTC GrantStock options · Derivative 150,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001213900-21-021048 · ownership.xml · derivative · entry 2

Melluzzo Luciano M · CIK 0001344076 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common stock · 150,000 shares

Expires 2026-03-31

F1 · derivative.exercise_date: Vests in equal annual installments of 50,000 shares commencing March 24, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:28 UTC GrantStock Options · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001213900-21-001974 · ownership.xml · derivative · entry 3

TAGLICH MICHAEL N · CIK 0001024533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-31

F2 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:27 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001213900-21-001970 · ownership.xml · derivative · entry 2

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-31

F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, and an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:24 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001213900-21-001962 · ownership.xml · derivative · entry 2

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-31

F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:26 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001213900-21-001966 · ownership.xml · derivative · entry 2

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-31

F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:23 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001213900-21-001959 · ownership.xml · derivative · entry 2

BUONANNO DAVID · CIK 0001411333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-31

F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:20 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001213900-21-001956 · ownership.xml · derivative · entry 3

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-31

F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, and an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:18 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001213900-21-001951 · ownership.xml · derivative · entry 4

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-31

F3 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 20:18 UTC
TAGLICH ROBERTDirector · 10% owner
OtherCommon Stock 12,857 $1.23 $15,814.11
Disclosure

SEC source: 0001213900-21-000644 · ownership.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,243,162

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 20:19 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherCommon Stock 12,857 $1.23 $15,814.11
Disclosure

SEC source: 0001213900-21-000646 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,916,571

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 20:16 UTC OtherCommon Stock 6,930 $1.23 $8,523.90
Disclosure

SEC source: 0001213900-21-000641 · ownership.xml · nonDerivative · entry 1

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,338

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 20:15 UTC OtherCommon Stock 9,613 $1.23 $11,823.99
Disclosure

SEC source: 0001213900-21-000639 · ownership.xml · nonDerivative · entry 1

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,718

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
December 16, 2020 Filed Dec 17, 2020 00:01 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
SaleCommon Stock 34,662 $1.19 $41,372.56
Disclosure

SEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 4

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: RBI Private Investment III, LLC

Disclosed balance after: 711,408

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

F9 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.215. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.

F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII.

Read SEC document
December 15, 2020 Filed Dec 17, 2020 00:01 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
SaleCommon Stock 18,471 $1.20 $22,111.63
Disclosure

SEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 3

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: RBI Private Investment III, LLC

Disclosed balance after: 746,070

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

F8 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.21. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.

F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII.

Read SEC document
December 14, 2020 Filed Dec 17, 2020 00:01 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
SaleCommon Stock 34,129 $1.20 $40,893.37
Disclosure

SEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 2

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: RBI Private Investment III, LLC

Disclosed balance after: 764,541

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

F7 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.22. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.

F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII.

Read SEC document
December 11, 2020 Filed Dec 17, 2020 00:01 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
SaleCommon Stock 1,330 $1.26 $1,670.48
Disclosure

SEC source: 0001193805-20-001552 · e620141_4-airi.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 Private Investment III, LLC · CIK 0001755442 · 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: RBI Private Investment III, LLC

Disclosed balance after: 798,670

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

F6 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.26. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4.

F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII.

Read SEC document
October 05, 2020 Filed Oct 6, 2020 19:13 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherCommon Stock 13,872 $1.14 $15,814.08
Disclosure

SEC source: 0001213900-20-030287 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,903,714

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
October 05, 2020 Filed Oct 6, 2020 19:08 UTC
TAGLICH ROBERTDirector · 10% owner
OtherCommon Stock 13,872 $1.14 $15,814.08
Disclosure

SEC source: 0001213900-20-030283 · ownership.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,230,305

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
October 05, 2020 Filed Oct 6, 2020 19:03 UTC OtherCommon Stock 10,372 $1.14 $11,824.08
Disclosure

SEC source: 0001213900-20-030279 · ownership.xml · nonDerivative · entry 1

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,105

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
October 05, 2020 Filed Oct 6, 2020 19:05 UTC OtherCommon Stock 7,477 $1.14 $8,523.78
Disclosure

SEC source: 0001213900-20-030281 · ownership.xml · nonDerivative · entry 1

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,408

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
July 15, 2020 Filed Aug 18, 2020 22:19 UTC OtherCommon Stock 9,535 $1.24 $11,823.40
Disclosure

SEC source: 0001213900-20-022735 · ownership.xml · nonDerivative · entry 1

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,733

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
July 15, 2020 Filed Aug 18, 2020 22:16 UTC OtherCommon Stock 6,874 $1.24 $8,523.76
Disclosure

SEC source: 0001213900-20-022733 · ownership.xml · nonDerivative · entry 1

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,931

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
July 15, 2020 Filed Aug 18, 2020 22:14 UTC
TAGLICH ROBERTDirector · 10% owner
OtherCommon Stock 12,753 $1.24 $15,813.72
Disclosure

SEC source: 0001213900-20-022729 · ownership.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,216,433

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
July 15, 2020 Filed Aug 18, 2020 22:13 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherCommon Stock 12,753 $1.24 $15,813.72
Disclosure

SEC source: 0001213900-20-022727 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,889,842

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
April 13, 2020 Filed Apr 13, 2020 21:53 UTC OtherCommon Stock 7,382 $1.07 $7,898.74
Disclosure

SEC source: 0001213900-20-009096 · ownership.xml · nonDerivative · entry 1

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,057

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
April 13, 2020 Filed Apr 13, 2020 21:52 UTC OtherCommon Stock 10,186 $1.07 $10,899.02
Disclosure

SEC source: 0001213900-20-009094 · ownership.xml · nonDerivative · entry 1

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,198

F1 · kind: Represents shares issued in lieu of cash payment of directors' fees.

Read SEC document
April 13, 2020 Filed Apr 13, 2020 21:49 UTC
TAGLICH ROBERTDirector · 10% owner
OtherCommon Stock 14,779 $1.07 $15,813.53
Disclosure

SEC source: 0001213900-20-009090 · ownership.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,166,180

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
April 13, 2020 Filed Apr 13, 2020 21:48 UTC
TAGLICH MICHAEL NDirector · 10% owner
OtherCommon Stock 14,779 $1.07 $15,813.53
Disclosure

SEC source: 0001213900-20-009088 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,839,589

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
April 07, 2020 Filed Apr 8, 2020 21:35 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseCommon Stock 45,000 $1.65 $74,250.00
Disclosure

SEC source: 0001213900-20-008847 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,824,810

Read SEC document
March 27, 2020 Filed Mar 27, 2020 21:01 UTC PurchaseCommon Stock 6,000 $1.10 $6,600.00
Disclosure

SEC source: 0001213900-20-007708 · ownership.xml · nonDerivative · entry 1

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Roth 401k

Disclosed balance after: 6,000

Read SEC document
March 25, 2020 Filed Mar 30, 2020 16:12 UTC
RECCA MICHAEL EChief Financial Officer
GrantStock options · Derivative 100,000 $0.00 Strike: $1.03 $0.00
Disclosure

SEC source: 0001213900-20-007977 · ownership.xml · derivative · entry 2

RECCA MICHAEL E · CIK 0000923781 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2025-03-31

Read SEC document
March 25, 2020 Filed Mar 30, 2020 20:13 UTC GrantStock options · Derivative 200,000 $0.00 Strike: $1.03 $0.00
Disclosure

SEC source: 0001213900-20-007981 · ownership.xml · derivative · entry 2

Melluzzo Luciano M · CIK 0001344076 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common stock · 200,000 shares

Expires 2025-03-31

Read SEC document
March 24, 2020 Filed Mar 25, 2020 14:52 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 30 $0.73 $21.90
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 8

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: Matthew J. Curfman

Disclosed balance after: 9,155

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

Read SEC document
March 24, 2020 Filed Mar 25, 2020 14:52 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 8,600 $0.73 $6,278.00
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 7

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: Matthew J. Curfman

Disclosed balance after: 9,125

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

Read SEC document
March 24, 2020 Filed Mar 25, 2020 14:52 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 5,680 $0.76 $4,316.80
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 6

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: 83,235

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

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
March 24, 2020 Filed Mar 25, 2020 14:52 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 100 $0.73 $73.32
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 5

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: 77,555

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

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
March 24, 2020 Filed Mar 25, 2020 14:52 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 100 $0.73 $73.16
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 4

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: 77,455

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

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
March 24, 2020 Filed Mar 25, 2020 14:52 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 66 $0.75 $49.50
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 3

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: 77,355

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

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
March 24, 2020 Filed Mar 25, 2020 14:52 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 4,504 $0.76 $3,423.04
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 2

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

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

RBI Private Investment III, LLC · CIK 0001755442 · 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: 77,289

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

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
March 24, 2020 Filed Mar 25, 2020 14:52 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 1,800 $0.75 $1,349.82
Disclosure

SEC source: 0000921895-20-000907 · form411265004_03252020.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 Private Investment III, LLC · CIK 0001755442 · 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: 72,785

F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), 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.

F6 · 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
February 05, 2020 Filed Feb 6, 2020 20:20 UTC PurchaseCommon stock 10,000 $1.58 $15,800.00
Disclosure

SEC source: 0001213900-20-002770 · ownership.xml · nonDerivative · entry 1

Melluzzo Luciano M · CIK 0001344076 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Read SEC document
February 03, 2020 Filed Feb 5, 2020 19:36 UTC PurchaseCommon stock 10,000 $1.58 $15,800.00
Disclosure

SEC source: 0001213900-20-002659 · ownership.xml · nonDerivative · entry 1

Melluzzo Luciano M · CIK 0001344076 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Read SEC document
January 07, 2020 Filed Jan 9, 2020 23:37 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 10,000 $0.00 Strike: $2.38 $0.00
Disclosure

SEC source: 0001213900-20-000703 · ownership.xml · derivative · entry 4

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-12-31

F4 · derivative.exercise_date: 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.

Read SEC document
January 07, 2020 Filed Jan 9, 2020 23:37 UTC
TAGLICH ROBERTDirector · 10% owner
OtherCommon Stock 11,377 $2.38 $27,077.26
Disclosure

SEC source: 0001213900-20-000703 · ownership.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,151,401

F1 · kind: Shares received in lieu of cash payment of director's fees.

Read SEC document
January 07, 2020 Filed Jan 9, 2020 23:12 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $2.38 $0.00
Disclosure

SEC source: 0001213900-20-000697 · ownership.xml · derivative · entry 6

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-12-31

F5 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2020, an additional 2,500 shares on each of June 30, 2020, September 30, 2020 and December 31, 2020.

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.