Filing Details
- Accession Number:
- 0000947871-19-000547
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-08-01 16:45:44
- Reporting Period:
- 2019-07-30
- Accepted Time:
- 2019-08-01 16:45:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1438731 | Alj Regional Holdings Inc | ALJJ | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1094988 | M Jess Ravich | 244 Madison Avenue, Pmb #358 New York NY 10016 | Chief Executive Officer | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-07-30 | 960,000 | $0.00 | 1,484,677 | No | 4 | P | Indirect | Held by Libra Securities Holdings, LLC |
| Common Stock | Acquisiton | 2019-07-30 | 600,000 | $0.00 | 668,669 | No | 4 | P | Indirect | Held through pension plan |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Held by Libra Securities Holdings, LLC |
| No | 4 | P | Indirect | Held through pension plan |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Acquisiton | 2019-07-30 | 199,800 | $0.00 | 199,800 | $1.80 |
| Common Stock | Warrants | Acquisiton | 2019-07-30 | 319,680 | $0.00 | 319,680 | $1.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 199,800 | 2019-07-30 | 2021-07-30 | No | 4 | A | Indirect |
| 319,680 | 2019-07-30 | 2021-07-30 | No | 4 | A | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,880,937 | Direct | |
| Common Stock | 4,853,804 | Indirect | By Exemption Trust under the Ravich Revocable Trust of 1989 |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to Buy) | $4.00 | 2015-08-03 | 2022-08-02 | 350,000 | 350,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-08-02 | 350,000 | 350,000 | Direct |
Footnotes
- On July 30, 2019, Libra Securities Holdings, LLC ("Libra") and ALJ Regional Holdings, Inc. (the "Issuer") entered into agreements under which Libra invested $1,728,000 in the Issuer and received 960,000 shares of the Issuer's common stock and a warrant to purchase 319,680 shares of the Issuer's common stock at an exercise price of $1.80 per share.
- On July 30, 2019, Jess Ravich, through his pension plan (the "Pension Plan"), entered into agreements with ALJ Regional Holdings, Inc. (the "Issuer") under which the Pension Plan invested $1,080,000 in the Issuer and received 600,000 shares of the Issuer's common stock and a warrant to purchase 199,800 shares of the Issuer's common stock at an exercise price of $1.80 per share.
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