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