SEC Form 4 · accession 0000947871-19-000131
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
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 7:08 pm EST
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 | Feb 15, 2019 | P | 54,475 | $1.7764 | A | 404,475 | I | Held by Libra Securities Holdings, LLC |
| Common Stock | Feb 19, 2019 | P | 21,233 | $1.8484 | A | 425,708 | I | Held by Libra Securities Holdings, LLC |
| Common Stock | Feb 20, 2019 | P | 77,060 | $1.8478 | A | 502,768 | I | Held by Libra Securities Holdings, LLC |
| Common Stock | holding | — | — | — | 8,880,937 | D | ||
| Common Stock | holding | — | — | — | 4,853,804 | I | By Exemption Trust under the Ravich Revocable Trust of 1989 | |
| 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 |