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Montgomery William – ‘4’ for 9/6/22 re: Alj Regional Holdings Inc.

On:  Thursday, 9/8/22, at 5:13pm ET   ·   For:  9/6/22   ·   As:  10% Owner   ·   Accession #:  921895-22-2625   ·   File #:  1-37689

Previous ‘4’:  ‘4’ on 8/24/22 for 8/22/22   ·   Latest ‘4’:  This Filing

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

 9/08/22  Montgomery William                4          10% Owner   1:11K  Alj Regional Holdings Inc.        Olshan Frome Wolosky 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           Ownership Document --                               HTML     11K 
                form413353002_09082022.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
 
 
EDGAR System rendering:  Ownership Document
 
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden hours per response...0.5

(Print or Type Responses)
1. Name and Address of Reporting Person *
Montgomery William
  2. Issuer Name and Ticker or Trading Symbol
ALJ REGIONAL HOLDINGS INC [ALJJ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
767 FIFTH AVENUE, 19TH FLOOR		 3. Date of Earliest Transaction (Month/Day/Year)
09/06/2022
(Street)

NEW YORK, NY 10153		 4. If Amendment, Date Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3) 		2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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)
Code V Amount (A) or (D) Price
Common Stock, par value $0.01 per share               1,204,220D  
Common Stock, par value $0.01 per share09/06/2022   P   44,717A $1.5122 (1)415,845IBy Elizabeth Glazer 2012 Trust (4) (7)
Common Stock, par value $0.01 per share09/07/2022   P   50,000A $1.5532 (2)465,845IBy Elizabeth Glazer 2012 Trust (4) (7)
Common Stock, par value $0.01 per share09/08/2022   P   326 (3)A $1.59466,171IBy Elizabeth Glazer 2012 Trust (4) (7)
Common Stock, par value $0.01 per share               20,000IBy William Montgomery 2012 Trust (5) (7)

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.SEC 1474 (9-02)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3) 		2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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
(Month/Day/Year) 		7. Title and Amount of Underlying Securities
(Instr. 3 and 4) 		8. Price of Derivative Security
(Instr. 5) 		9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4) 		10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) 		11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Term Loan C Convertible Debt Participation $0.54             05/12/202011/28/2023Common Stock, par value $0.01 per share2,989,067   2,989,067IBy Elizabeth Glazer 2012 Trust (6) (7)

Reporting Owners

Reporting Owner Name / AddressRelationships
 Director 10% Owner Officer Other
Montgomery William
767 FIFTH AVENUE
19TH FLOOR
NEW YORK, NY 10153		    X    

Signatures

 /s/ William Montgomery  09/08/2022
**Signature of Reporting PersonDate

Explanation of Responses:

*If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1)The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.4900 to $1.5200, inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
(2)The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.5400 to $1.600, inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
(3)These shares were sold in multiple transactions, each at a price of $1.59 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold in each separate transaction described in this footnote.
(4)Represents shares of Common Stock held by the Elizabeth Glazer 2012 Trust (the "Glazer Trust"), which the reporting person may be deemed to beneficially own as a trustee and beneficiary of the Glazer Trust.
(5)Represents shares of Common Stock held by the William Montgomery 2012 Trust (the "Montgomery Trust"), which the reporting person may be deemed to beneficially own as a settlor of the Montgomery Trust.
(6)Represents shares of Common Stock issuable upon the exercise of a participation in convertible debt owned by the Glazer Trust, which the reporting person may be deemed to beneficially own as a trustee and beneficiary of the Glazer Trust.
(7)The reporting person disclaims beneficial ownership of the securities of the Issuer held by the Glazer Trust and the Montgomery Trust except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

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Filing Submission 0000921895-22-002625   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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