Filing Details

Accession Number:
0000921895-22-002540
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-08-24 19:32:43
Reporting Period:
2022-08-22
Accepted Time:
2022-08-24 19:32:43
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
1565119 William Montgomery 767 Fifth Avenue
19Th Floor
New York NY 10153
No No 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, Par Value $0.01 Per Share Acquisiton 2022-08-22 20,000 $1.74 281,128 No 4 P Indirect By Elizabeth Glazer 2012 Trust
Common Stock, Par Value $0.01 Per Share Acquisiton 2022-08-23 90,000 $1.50 371,128 No 4 P Indirect By Elizabeth Glazer 2012 Trust
Common Stock, Par Value $0.01 Per Share Acquisiton 2022-08-22 20,000 $1.50 20,000 No 4 P Indirect By William Montgomery 2012 Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Elizabeth Glazer 2012 Trust
No 4 P Indirect By Elizabeth Glazer 2012 Trust
No 4 P Indirect By William Montgomery 2012 Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share 1,204,220 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock, Par Value $0.01 Per Share Term Loan C Convertible Debt Participation $0.54 2020-05-12 2023-11-28 2,989,067 2,989,067 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2023-11-28 2,989,067 2,989,067 Indirect
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.724 to $1.740, inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.460 to $1.540, inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.490 to $1.500, inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
  4. Represents shares of Common Stock held by the Elizabeth Glazer 2012 Trust (the "Glazer Trust"), which the reporting person may be deemed to beneficially own as a trustee and beneficiary of the Glazer Trust.
  5. Represents shares of Common Stock held by the William Montgomery 2012 Trust (the "Montgomery Trust"), which the reporting person may be deemed to beneficially own as a settlor of the Montgomery Trust.
  6. Represents shares of Common Stock issuable upon the exercise of a participation in convertible debt owned by the Glazer Trust, which the reporting person may be deemed to beneficially own as a trustee and beneficiary of the Glazer Trust.
  7. The reporting person disclaims beneficial ownership of the securities of the Issuer held by the Glazer Trust and the Montgomery Trust except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.