0000947871-19-000548.txt : 20190801 0000947871-19-000548.hdr.sgml : 20190801 20190801164851 ACCESSION NUMBER: 0000947871-19-000548 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190730 FILED AS OF DATE: 20190801 DATE AS OF CHANGE: 20190801 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Van Buren Anna Mary CENTRAL INDEX KEY: 0001674746 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37689 FILM NUMBER: 19993309 MAIL ADDRESS: STREET 1: 248 SHORECREST LANE CITY: HAMPTON STATE: VA ZIP: 23669 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 2019-07-30 0 0001438731 ALJ REGIONAL HOLDINGS INC ALJJ 0001674746 Van Buren Anna Mary 244 MADISON AVENUE, PMB #358 NEW YORK NY 10016 1 1 0 0 President & CEO, Faneuil Common Stock 1515021 D Common Stock 2019-07-30 4 P 0 55555 A 55555 I Held by Anna Mary Van Buren Trust Agreement Dated September 14, 2012 Stock Options (Right to Buy) 3.33 2027-08-11 Common Stock 150000 150000 D Warrants 1.80 2019-07-30 4 A 0 18500 A 2019-07-30 2021-07-30 Common Stock 18500 18500 I Held by Anna Mary Van Buren Trust Agreement Dated September 14, 2012 On July 30, 2019, Anna Mary Van Buren Trust Agreement Dated September 14, 2012 (the "Trust") and ALJ Regional Holdings, Inc. (the "Issuer") entered into agreements under which the Trust invested $99,999 in the Issuer and received 55,555 shares of the Issuer's common stock and a warrant to purchase 18,500 shares of the Issuer's common stock at an exercise price of $1.80 per share. Option is subject to a 3-year vesting schedule, with 33.3% vesting upon each of August 11, 2018, August 11, 2019 and August 11, 2020. /s/ Anna Van Buren 2019-08-01