Annual Statement of Changes in Beneficial Ownership (5)
18 November 2019 - 12:04PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
RAVICH JESS M | 2. Issuer Name and Ticker or Trading SymbolALJ REGIONAL HOLDINGS INC [ALJJ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
244 MADISON AVENUE, PMB #358 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 9/30/2019 |
(Street)
NEW YORK, NY 10016
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | 8/22/2019 | | G | 8000 | D | $0 | 9006007 | D | |
Common Stock | 8/22/2019 | | G | 8000 | D | $0 | 8998007 | D | |
Common Stock | 8/22/2019 | | G | 8000 | D | $0 | 8990007 | D | |
Common Stock | 8/22/2019 | | G | 8000 | D | $0 | 8982007 | D | |
Common Stock | | | | | | | 4853804 | I | By Exemption Trust under the Ravich Revocable Trust of 1989 |
Common Stock | | | | | | | 1484677 | I | Held by Libra Securities Holdings, LLC |
Common Stock | | | | | | | 668669 | I | Held through pension plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (Right to Buy) | $4 | | | | | | 8/3/2015 | 8/2/2022 | Common Stock | 350000 | | 350000 | D | |
Warrants | $1.8 | | | | | | 7/30/2019 | 7/30/2021 | Common Stock | 199800 (2) | | 199800 | I | Held through Pension plan |
Warrants | $1.8 | | | | | | 7/30/2019 | 7/30/2021 | Common Stock | 319680 (1) | | 319680 | I | Held by Libra Securities Holdings, LLC |
Explanation of Responses: |
(1) | 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. |
(2) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RAVICH JESS M 244 MADISON AVENUE, PMB #358 NEW YORK, NY 10016 | X | X | Chief Executive Officer |
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Signatures
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/s/ Christopher Forrester, by Power of Attorney | | 11/15/2019 |
**Signature of Reporting Person | Date |
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