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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1438731	Alj Regional Holdings Inc	ALJJ	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1094988	M Jess Ravich	244 Madison Avenue, Pmb #358 New York NY 10016	Chief Executive Officer	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2019-07-30	960,000	$0.00	1,484,677	No	4	P	Indirect	Held by Libra Securities Holdings, LLC
Common Stock	Acquisiton	2019-07-30	600,000	$0.00	668,669	No	4	P	Indirect	Held through pension plan

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Held by Libra Securities Holdings, LLC
No	4	P	Indirect	Held through pension plan

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants	Acquisiton	2019-07-30	199,800	$0.00	199,800	$1.80
Common Stock	Warrants	Acquisiton	2019-07-30	319,680	$0.00	319,680	$1.80

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
199,800	2019-07-30	2021-07-30	No	4	A	Indirect
319,680	2019-07-30	2021-07-30	No	4	A	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	8,880,937	Direct
Common Stock	4,853,804	Indirect	By Exemption Trust under the Ravich Revocable Trust of 1989

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Options (Right to Buy)	$4.00	2015-08-03	2022-08-02	350,000	350,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-08-02	350,000	350,000	Direct

Footnotes

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.