SEC Form 4 · accession 0000947871-18-000251
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
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 4:36 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 StockF1 | Mar 15, 2018 | P | 67,716 | $2.0855 | A | 8,636,509 | D | |
| Common StockF1 | Mar 16, 2018 | P | 5,105 | $2.1447 | A | 8,641,614 | D | |
| Common StockF2 | 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 |
Explanation of responses
- F1Includes 300,000 shares of common stock held directly that, in Mr. Ravich's previous Form 4 reports, were mistakenly reported to be indirectly owned through the Exemption Trust under the Ravich Revocable Trust of 1989.
- F2Excludes 300,000 shares of common stock held directly that, in Mr. Ravich's previous Form 4 reports, were mistakenly reported to be indirectly owned through the Exemption Trust under the Ravich Revocable Trust of 1989.