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Ravich Jess M – ‘4’ for 2/17/21 re: Alj Regional Holdings Inc.

On:  Friday, 2/19/21, at 7:20pm ET   ·   For:  2/17/21   ·   Accession #:  947871-21-251   ·   File #:  1-37689

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/19/21  Ravich Jess M                     4                      1:9K   Alj Regional Holdings Inc.        Shearman & Sterling LLP

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- ownership.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  2/17/21
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1438731
Issuer Name:  ALJ REGIONAL HOLDINGS INC
Issuer Trading Symbol:  ALJJ
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1094988
Owner Name:  RAVICH JESS M
Reporting Owner Address:
Owner Street 1:  244 MADISON AVENUE, PMB #358
Owner Street 2:
Owner City:  NEW YORK
Owner State:  NY
Owner ZIP Code:  10016
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  Yes
Is Ten Percent Owner?  Yes
Is Other?  No
Officer Title:  CEO and Chairman
Other Text:
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  2/17/21
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  276,237
Transaction Price Per Share:
Value:  1.8045
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  8,737,770
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  4,853,804
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Exemption Trust under the Ravich Revocable Trust of 1989
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,484,677
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held by Libra Securities Holdings, LLC
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  668,669
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held through pension plan
Derivative Table:
Derivative Holding:
Security Title:
Value:  Stock Options (Right to Buy)
Conversion or Exercise Price:
Value:  4.00
Exercise Date:
Value:  8/3/15
Expiration Date:
Value:  8/2/22
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  350,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  350,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Warrants
Conversion or Exercise Price:
Value:  1.80
Exercise Date:
Value:  7/30/19
Expiration Date:
Value:  7/30/21
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  199,800
Footnote ID:  F2
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  199,800
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held through pension plan
Derivative Holding:
Security Title:
Value:  Warrants
Conversion or Exercise Price:
Value:  1.80
Exercise Date:
Value:  7/30/19
Expiration Date:
Value:  7/30/21
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  319,680
Footnote ID:  F1
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  319,680
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  Held by Libra Securities Holdings, LLC
Footnotes:
Footnote - F1:  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.
Footnote - F2:  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.
Owner Signature:
Signature Name:  /s/ Christopher Forrester, by Power of Attorney
Signature Date:  2/19/21


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