0000947871-19-000669.txt : 20190910
0000947871-19-000669.hdr.sgml : 20190910
20190910200110
ACCESSION NUMBER: 0000947871-19-000669
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190906
FILED AS OF DATE: 20190910
DATE AS OF CHANGE: 20190910
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RAVICH JESS M
CENTRAL INDEX KEY: 0001094988
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37689
FILM NUMBER: 191086930
MAIL ADDRESS:
STREET 1: 11766 WILSHIRE BOULEVARD
STREET 2: SUITE 870
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ALJ REGIONAL HOLDINGS INC
CENTRAL INDEX KEY: 0001438731
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 134082185
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 244 MADISON AVENUE, PMB #358
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 212-883-0083
MAIL ADDRESS:
STREET 1: 244 MADISON AVENUE, PMB #358
CITY: NEW YORK
STATE: NY
ZIP: 10016
4
1
ownership.xml
X0306
4
2019-09-06
0
0001438731
ALJ REGIONAL HOLDINGS INC
ALJJ
0001094988
RAVICH JESS M
244 MADISON AVENUE, PMB #358
NEW YORK
NY
10016
1
1
1
0
Chief Executive Officer
Common Stock
2019-09-06
4
A
0
133070
0
A
9014007
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
Stock Options (Right to Buy)
4.00
2015-08-03
2022-08-02
Common Stock
350000
350000
D
Warrants
1.80
2019-07-30
2021-07-30
Common Stock
199800
199800
I
Held through pension plan
Warrants
1.80
2019-07-30
2021-07-30
Common Stock
319680
319680
I
Held by Libra Securities Holdings, LLC
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.
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.
/s/ Christopher Forrester, by Power of Attorney
2019-09-10