William Montgomery - Sep 6, 2022 Form 4 Insider Report for ALJ REGIONAL HOLDINGS INC (ALJJ)

Role
10%+ Owner
Signature
/s/ William Montgomery
Stock symbol
ALJJ
Transactions as of
Sep 6, 2022
Transactions value $
$145,799
Form type
4
Date filed
9/8/2022, 05:13 PM
Previous filing
Aug 24, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALJJ Common Stock, par value $0.01 per share Purchase $67.6K +44.7K +12.05% $1.51 416K Sep 6, 2022 By Elizabeth Glazer 2012 Trust F1, F4, F7
transaction ALJJ Common Stock, par value $0.01 per share Purchase $77.7K +50K +12.02% $1.55 466K Sep 7, 2022 By Elizabeth Glazer 2012 Trust F2, F4, F7
transaction ALJJ Common Stock, par value $0.01 per share Purchase $518 +326 +0.07% $1.59 466K Sep 8, 2022 By Elizabeth Glazer 2012 Trust F3, F4, F7
holding ALJJ Common Stock, par value $0.01 per share 1.2M Sep 6, 2022 Direct
holding ALJJ Common Stock, par value $0.01 per share 20K Sep 6, 2022 By William Montgomery 2012 Trust F5, F7

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ALJJ Term Loan C Convertible Debt Participation 2.99M Sep 6, 2022 Common Stock, par value $0.01 per share 2.99M $0.54 By Elizabeth Glazer 2012 Trust F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.4900 to $1.5200, inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.5400 to $1.600, inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
F3 These shares were sold in multiple transactions, each at a price of $1.59 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold in each separate transaction described in this footnote.
F4 Represents shares of Common Stock held by the Elizabeth Glazer 2012 Trust (the "Glazer Trust"), which the reporting person may be deemed to beneficially own as a trustee and beneficiary of the Glazer Trust.
F5 Represents shares of Common Stock held by the William Montgomery 2012 Trust (the "Montgomery Trust"), which the reporting person may be deemed to beneficially own as a settlor of the Montgomery Trust.
F6 Represents shares of Common Stock issuable upon the exercise of a participation in convertible debt owned by the Glazer Trust, which the reporting person may be deemed to beneficially own as a trustee and beneficiary of the Glazer Trust.
F7 The reporting person disclaims beneficial ownership of the securities of the Issuer held by the Glazer Trust and the Montgomery Trust except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.