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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
August 27, 2018 Filed Aug 30, 2018 21:44 UTC PurchaseCommon stock 10,000 $1.45 $14,500.00
Disclosure

SEC source: 0001193805-18-001109 · e618249_4-luciano.xml · nonDerivative · entry 1

Melluzzo Luciano M · CIK 0001344076 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
August 08, 2018 Filed Aug 10, 2018 20:00 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 705 $1.43 $1,008.15
Disclosure

SEC source: 0000921895-18-002272 · form411265004_08102018.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 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: 58,620

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

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

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

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

Read SEC document
August 08, 2018 Filed Aug 10, 2018 20:00 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 541 $1.43 $773.63
Disclosure

SEC source: 0000921895-18-002272 · form411265004_08102018.xml · nonDerivative · entry 1

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

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

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

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

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

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

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 57,915

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

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

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

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

Read SEC document
July 24, 2018 Filed Feb 14, 2019 21:29 UTC GrantStock Options (right to purchase) · Derivative 50,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001213900-19-002581 · ownership.xml · derivative · entry 11

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-07-24

Read SEC document
June 14, 2018 Filed Jun 25, 2018 19:45 UTC
Richmond David S.10% owner · See Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
PurchaseCommon Stock 9,732 $1.70 $16,500.61
Disclosure

SEC source: 0000921895-18-002016 · form411265004_06252018.xml · nonDerivative · entry 9

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

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

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

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

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

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

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 57,374

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

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

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

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

Read SEC document
June 14, 2018 Filed Jun 25, 2018 19:45 UTC
Richmond David S.10% owner · See Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
PurchaseCommon Stock 7,281 $1.70 $12,344.94
Disclosure

SEC source: 0000921895-18-002016 · form411265004_06252018.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 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: 47,642

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

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

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

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

Read SEC document
June 14, 2018 Filed Jun 25, 2018 19:45 UTC
Richmond David S.10% owner · See Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
PurchaseCommon Stock 9,547 $1.70 $16,186.94
Disclosure

SEC source: 0000921895-18-002016 · form411265004_06252018.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 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: 40,361

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

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

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

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

Read SEC document
June 14, 2018 Filed Jun 25, 2018 19:45 UTC
Richmond David S.10% owner · See Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
PurchaseCommon Stock 10,944 $1.70 $18,555.55
Disclosure

SEC source: 0000921895-18-002016 · form411265004_06252018.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 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: 30,814

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

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

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

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

Read SEC document
May 21, 2018 Filed May 22, 2018 21:02 UTC
TAGLICH MICHAEL NDirector · 10% owner
PurchaseCommon Stock 178,571 $1.68 $299,999.28
Disclosure

SEC source: 0001193805-18-000744 · e618038_4-michaelt.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,350,431

Read SEC document
May 21, 2018 Filed May 22, 2018 21:00 UTC
TAGLICH ROBERTDirector · 10% owner
PurchaseCommon Stock 17,857 $1.68 $29,999.76
Disclosure

SEC source: 0001193805-18-000742 · e618036_4-robertt.xml · nonDerivative · entry 1

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,917,106

Read SEC document
May 14, 2018 Filed May 16, 2018 21:27 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000715 · e617994_4-brand.xml · derivative · entry 3

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F1 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:26 UTC GrantStock Options (right to purchase · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000714 · e617993_4-porcelain.xml · derivative · entry 4

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F1 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:26 UTC GrantStock Options (right to purchase · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000713 · e617992_4-buonanno.xml · derivative · entry 12

BUONANNO DAVID · CIK 0001411333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:25 UTC GrantStock Options (right to purchase · Derivative 10,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000712 · e617991_4-peter.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Vests in increments of 2,500 shares on each of May 14, 2018, June 30, 2018, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:24 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000711 · e617990_4-schroeder.xml · derivative · entry 2

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F1 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:23 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000709 · e617988_4-michaelt.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:22 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000707 · e617986_4-robertt.xml · derivative · entry 6

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F5 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 22, 2018 21:02 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000744 · e618038_4-michaelt.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F3 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed May 22, 2018 21:00 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001193805-18-000742 · e618036_4-robertt.xml · derivative · entry 5

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Vests as to 5,500 shares on May 14, 2018 and in increments of 2,500 additional shares on each of June 30, September 30, 2018 and December 31, 2018.

Read SEC document
May 14, 2018 Filed Jan 17, 2019 23:20 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-000887 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F3 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Jan 17, 2019 23:17 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-000883 · ownership.xml · derivative · entry 5

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Jan 18, 2019 15:03 UTC GrantStock Options (right to purchase · Derivative 10,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-000921 · ownership.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-05-31

F3 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Jan 18, 2019 15:34 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-000924 · ownership.xml · derivative · entry 4

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018

Read SEC document
May 14, 2018 Filed Jan 18, 2019 15:04 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-000922 · ownership.xml · derivative · entry 2

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Jan 18, 2019 15:02 UTC GrantStock Options (right to purchase · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-000920 · ownership.xml · derivative · entry 9

BUONANNO DAVID · CIK 0001411333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Jan 18, 2019 15:01 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-000919 · ownership.xml · derivative · entry 3

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Feb 14, 2019 22:36 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002637 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Feb 14, 2019 22:31 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002633 · ownership.xml · derivative · entry 5

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F5 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Feb 14, 2019 21:29 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002581 · ownership.xml · derivative · entry 3

Brand Michael · CIK 0001562757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F1 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Feb 14, 2019 21:33 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002586 · ownership.xml · derivative · entry 2

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F1 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Feb 14, 2019 19:02 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002504 · ownership.xml · derivative · entry 9

BUONANNO DAVID · CIK 0001411333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F3 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Feb 14, 2019 21:31 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002583 · ownership.xml · derivative · entry 4

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F1 · derivative.exercise_date: Fully vested as of December 31, 2018

Read SEC document
May 14, 2018 Filed Feb 14, 2019 17:22 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002469 · ownership.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Feb 15, 2019 16:30 UTC Amendment
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002685 · ownership.xml · derivative · entry 5

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F5 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Feb 15, 2019 16:27 UTC Amendment
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002681 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Feb 19, 2019 15:46 UTC Amendment
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-002781 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Apr 4, 2019 17:52 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-005772 · ownership.xml · derivative · entry 5

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F5 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Apr 4, 2019 17:51 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-005770 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Apr 4, 2019 17:50 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-005768 · ownership.xml · derivative · entry 2

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Apr 4, 2019 17:48 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-005766 · ownership.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-05-31

F3 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Apr 4, 2019 17:47 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-005764 · ownership.xml · derivative · entry 4

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018

Read SEC document
May 14, 2018 Filed Aug 14, 2019 15:36 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-015705 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Aug 14, 2019 14:55 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-015689 · ownership.xml · derivative · entry 5

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F5 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Aug 14, 2019 14:53 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-015687 · ownership.xml · derivative · entry 4

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Dec 5, 2019 19:33 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-025376 · ownership.xml · derivative · entry 3

SCHROEDER ROBERT C · CIK 0001268331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Dec 5, 2019 19:35 UTC
TAGLICH ROBERTDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-025378 · ownership.xml · derivative · entry 6

TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F5 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
May 14, 2018 Filed Dec 5, 2019 19:32 UTC GrantStock Options (right to purchase) · Derivative 10,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-025374 · ownership.xml · derivative · entry 5

Rettaliata Peter · CIK 0001344959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-05-31

F3 · derivative.exercise_date: Fully vested as of December 31, 2018.

Read SEC document
May 14, 2018 Filed Dec 5, 2019 19:28 UTC GrantStock Options (right to purchase) · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-025372 · ownership.xml · derivative · entry 5

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F2 · derivative.exercise_date: Fully vested as of December 31, 2018

Read SEC document
May 14, 2018 Filed Dec 5, 2019 19:26 UTC
TAGLICH MICHAEL NDirector · 10% owner
GrantStock Options · Derivative 13,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001213900-19-025370 · ownership.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2023-05-31

F4 · derivative.exercise_date: Fully vested as of 12/31/2018.

Read SEC document
January 29, 2018 Filed Jan 30, 2018 21:53 UTC GrantStock Options (right to purchase · Derivative 10,000 $0.00 Strike: $1.36 $0.00
Disclosure

SEC source: 0001193805-18-000091 · e617615_4-porcelain.xml · derivative · entry 3

PORCELAIN MICHAEL · CIK 0001210707 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-01-31

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.