4//SEC Filing
Richmond David S. 4
Accession 0001193805-20-001552
CIK 0001009891other
Filed
Dec 15, 7:00 PM ET
Accepted
Dec 16, 7:01 PM ET
Size
27.0 KB
Accession
0001193805-20-001552
Insider Transaction Report
Form 4
Richmond David S.
10% OwnerOther
Transactions
- Sale
Common Stock
2020-12-15$1.20/sh−18,471$22,112→ 746,070 total(indirect: By LLC) - Sale
Common Stock
2020-12-16$1.19/sh−34,662$41,373→ 711,408 total(indirect: By LLC) - Sale
Common Stock
2020-12-11$1.26/sh−1,330$1,670→ 798,670 total(indirect: By LLC) - Sale
Common Stock
2020-12-14$1.20/sh−34,129$40,893→ 764,541 total(indirect: By LLC)
Holdings
- 15,333(indirect: By LLC)
Common Stock
- 83,235(indirect: By 401(k))
Common Stock
- 9,155(indirect: By: Matthew J. Curfman)
Common Stock
Transactions
- Sale
Common Stock
2020-12-15$1.20/sh−18,471$22,112→ 746,070 total(indirect: By LLC) - Sale
Common Stock
2020-12-14$1.20/sh−34,129$40,893→ 764,541 total(indirect: By LLC) - Sale
Common Stock
2020-12-16$1.19/sh−34,662$41,373→ 711,408 total(indirect: By LLC) - Sale
Common Stock
2020-12-11$1.26/sh−1,330$1,670→ 798,670 total(indirect: By LLC)
Holdings
- 83,235(indirect: By 401(k))
Common Stock
- 9,155(indirect: By: Matthew J. Curfman)
Common Stock
- 15,333(indirect: By LLC)
Common Stock
RBI PI Manager, LLC
Other
Transactions
- Sale
Common Stock
2020-12-11$1.26/sh−1,330$1,670→ 798,670 total(indirect: By LLC) - Sale
Common Stock
2020-12-16$1.19/sh−34,662$41,373→ 711,408 total(indirect: By LLC) - Sale
Common Stock
2020-12-14$1.20/sh−34,129$40,893→ 764,541 total(indirect: By LLC) - Sale
Common Stock
2020-12-15$1.20/sh−18,471$22,112→ 746,070 total(indirect: By LLC)
Holdings
- 9,155(indirect: By: Matthew J. Curfman)
Common Stock
- 83,235(indirect: By 401(k))
Common Stock
- 15,333(indirect: By LLC)
Common Stock
Transactions
- Sale
Common Stock
2020-12-16$1.19/sh−34,662$41,373→ 711,408 total(indirect: By LLC) - Sale
Common Stock
2020-12-14$1.20/sh−34,129$40,893→ 764,541 total(indirect: By LLC) - Sale
Common Stock
2020-12-15$1.20/sh−18,471$22,112→ 746,070 total(indirect: By LLC) - Sale
Common Stock
2020-12-11$1.26/sh−1,330$1,670→ 798,670 total(indirect: By LLC)
Holdings
- 83,235(indirect: By 401(k))
Common Stock
- 15,333(indirect: By LLC)
Common Stock
- 9,155(indirect: By: Matthew J. Curfman)
Common Stock
Transactions
- Sale
Common Stock
2020-12-14$1.20/sh−34,129$40,893→ 764,541 total(indirect: By LLC) - Sale
Common Stock
2020-12-16$1.19/sh−34,662$41,373→ 711,408 total(indirect: By LLC) - Sale
Common Stock
2020-12-11$1.26/sh−1,330$1,670→ 798,670 total(indirect: By LLC) - Sale
Common Stock
2020-12-15$1.20/sh−18,471$22,112→ 746,070 total(indirect: By LLC)
Holdings
- 9,155(indirect: By: Matthew J. Curfman)
Common Stock
- 15,333(indirect: By LLC)
Common Stock
- 83,235(indirect: By 401(k))
Common Stock
Richmond Brothers, Inc.
10% OwnerOther
Transactions
- Sale
Common Stock
2020-12-14$1.20/sh−34,129$40,893→ 764,541 total(indirect: By LLC) - Sale
Common Stock
2020-12-15$1.20/sh−18,471$22,112→ 746,070 total(indirect: By LLC) - Sale
Common Stock
2020-12-11$1.26/sh−1,330$1,670→ 798,670 total(indirect: By LLC) - Sale
Common Stock
2020-12-16$1.19/sh−34,662$41,373→ 711,408 total(indirect: By LLC)
Holdings
- 15,333(indirect: By LLC)
Common Stock
- 83,235(indirect: By 401(k))
Common Stock
- 9,155(indirect: By: Matthew J. Curfman)
Common Stock
Curfman Matthew J.
10% OwnerOther
Transactions
- Sale
Common Stock
2020-12-16$1.19/sh−34,662$41,373→ 711,408 total(indirect: By LLC) - Sale
Common Stock
2020-12-15$1.20/sh−18,471$22,112→ 746,070 total(indirect: By LLC) - Sale
Common Stock
2020-12-11$1.26/sh−1,330$1,670→ 798,670 total(indirect: By LLC) - Sale
Common Stock
2020-12-14$1.20/sh−34,129$40,893→ 764,541 total(indirect: By LLC)
Holdings
- 15,333(indirect: By LLC)
Common Stock
- 83,235(indirect: By 401(k))
Common Stock
- 9,155(indirect: By: Matthew J. Curfman)
Common Stock
Footnotes (9)
- [F1]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]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.
- [F3]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.
- [F4]Represents securities directly owned by RBI PII. RBI Manager, as the manager of RBI PII, may be deemed to beneficially own the securities owned directly by RBI PII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PII.
- [F5]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.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]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.
Documents
Issuer
AIR INDUSTRIES GROUP
CIK 0001009891
Entity typeother
Related Parties
1- filerCIK 0001698614
Filing Metadata
- Form type
- 4
- Filed
- Dec 15, 7:00 PM ET
- Accepted
- Dec 16, 7:01 PM ET
- Size
- 27.0 KB