SEC Form 4 · accession 0000947871-17-000832
ALJ REGIONAL HOLDINGS INC · ALJJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jess M Ravich
Officer — Executive Chairman · Director · 10% Owner
Period of report
Oct 26, 2017
Accepted (ET)
Oct 26, 2017 · 7:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001438731
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 26, 2017 | A | 30,030 | $0.00 | A | 8,268,793 | D | |
| Common Stock | holding | — | — | — | 4,853,804 | I | By Exemption Trust under the Ravich Revocable Trust of 1989 | |
| Common Stock | holding | — | — | — | 350,000 | I | Held by Libra Securities Holdings, LLC | |
| Common Stock | holding | — | — | — | 68,669 | I | Held through pension plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $4.00 | holding | — | — | — | Aug 3, 2015 | Aug 2, 2022 | Common Stock | 350,000 | 350,000 | D |