Filing Details
- Accession Number:
- 0000947871-19-000548
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-08-01 16:48:51
- Reporting Period:
- 2019-07-30
- Accepted Time:
- 2019-08-01 16:48:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1438731 | Alj Regional Holdings Inc | ALJJ | Services-Business Services, Nec (7389) | 134082185 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1674746 | Mary Anna Buren Van | 244 Madison Avenue, Pmb #358 New York NY 10016 | President & Ceo, Faneuil | Yes | Yes | No | 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 | 55,555 | $0.00 | 55,555 | No | 4 | P | Indirect | Held by Anna Mary Van Buren Trust Agreement Dated September 14, 2012 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Held by Anna Mary Van Buren Trust Agreement Dated September 14, 2012 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Acquisiton | 2019-07-30 | 18,500 | $0.00 | 18,500 | $1.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 18,500 | 2019-07-30 | 2021-07-30 | No | 4 | A | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,515,021 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to Buy) | $3.33 | 2027-08-11 | 150,000 | 150,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2027-08-11 | 150,000 | 150,000 | Direct |
Footnotes
- On July 30, 2019, Anna Mary Van Buren Trust Agreement Dated September 14, 2012 (the "Trust") and ALJ Regional Holdings, Inc. (the "Issuer") entered into agreements under which the Trust invested $99,999 in the Issuer and received 55,555 shares of the Issuer's common stock and a warrant to purchase 18,500 shares of the Issuer's common stock at an exercise price of $1.80 per share.
- Option is subject to a 3-year vesting schedule, with 33.3% vesting upon each of August 11, 2018, August 11, 2019 and August 11, 2020.
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