Home > Insider Trading > Filing (0000921895-22-002625)

Filing Details

Accession Number:: 0000921895-22-002625
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-09-08 17:13:05
Reporting Period:: 2022-09-06

Accepted Time:: 2022-09-08 17:13:05
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

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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	2022-09-06	44,717	$1.51	415,845	No	4	P	Indirect	By Elizabeth Glazer 2012 Trust
Common Stock, Par Value $0.01 Per Share	Acquisiton	2022-09-07	50,000	$1.55	465,845	No	4	P	Indirect	By Elizabeth Glazer 2012 Trust
Common Stock, Par Value $0.01 Per Share	Acquisiton	2022-09-08	326	$1.59	466,171	No	4	P	Indirect	By Elizabeth Glazer 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 Elizabeth Glazer 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
Common Stock, Par Value $0.01 Per Share	20,000	Indirect	By William Montgomery 2012 Trust

Reported Derivative Holdings

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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

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.4900 to $1.5200, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.5400 to $1.600, 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.
These shares were sold in multiple transactions, each at a price of $1.59 per share. 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 in each separate transaction described in this footnote.
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.
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.
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.
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.