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| Share Name | Share Symbol | Market | Type |
|---|---|---|---|
| ALJ Regional Holdings Inc (PK) | USOTC:ALJJ | OTCMarkets | Common Stock |
| Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| 0.00 | 0.00% | 1.92 | 1.89 | 1.97 | 0.00 | 01:00:00 |
| 1. Name and Address of Reporting Person * RAVICH JESS M | 2. Issuer Name and Ticker or Trading SymbolALJ REGIONAL HOLDINGS INC [ALJJ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
| 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) | ||
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person ___ Form Filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
| 1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) | |||
| Amount | (A) or (D) | Price | ||||||||
| Common Stock | 8/22/2019 | G | 8000 | D | $0 | 9006007 | D | |||
| Common Stock | 8/22/2019 | G | 8000 | D | $0 | 8998007 | D | |||
| Common Stock | 8/22/2019 | G | 8000 | D | $0 | 8990007 | D | |||
| Common Stock | 8/22/2019 | G | 8000 | D | $0 | 8982007 | D | |||
| Common Stock | 4853804 | I | By Exemption Trust under the Ravich Revocable Trust of 1989 | |||||||
| Common Stock | 1484677 | I | Held by Libra Securities Holdings, LLC | |||||||
| Common Stock | 668669 | I | Held through pension plan | |||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
| 1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||||
| Stock Options (Right to Buy) | $4 | 8/3/2015 | 8/2/2022 | Common Stock | 350000 | 350000 | D | ||||||||
| Warrants | $1.8 | 7/30/2019 | 7/30/2021 | Common Stock | 199800 (2) | 199800 | I | Held through Pension plan | |||||||
| Warrants | $1.8 | 7/30/2019 | 7/30/2021 | Common Stock | 319680 (1) | 319680 | I | Held by Libra Securities Holdings, LLC | |||||||
| Reporting Owners | |||||
| Reporting Owner Name / Address | |||||
| Director | 10% Owner | Officer | Other | ||
| RAVICH JESS M 244 MADISON AVENUE, PMB #358 NEW YORK, NY 10016 | X | X | Chief Executive Officer | ||
| Signatures | ||
| /s/ Christopher Forrester, by Power of Attorney | 11/15/2019 | |
| **Signature of Reporting Person | Date | |
1 Year ALJ Regional (PK) Chart |
1 Month ALJ Regional (PK) Chart |
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