Brian Hartman - 08 Aug 2017 Form 3 Insider Report for ALJ REGIONAL HOLDINGS INC

Role
Chief Financial Officer
Signature
/s/ Brian Hartman
Issuer symbol
N/A
Transactions as of
08 Aug 2017
Net transactions value
$0
Form type
3
Filing time
27 Aug 2021, 18:59:15 UTC
SEC
View on sec.gov

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 Options 08 Aug 2017 Common Stock 150,000 $3.26 Direct F1
holding ALJJ Options 08 Aug 2017 Common Stock 150,000 $2.10 Direct F2
holding ALJJ Options 08 Aug 2017 Common Stock 40,000 $1.24 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares underlying this option vested in three equal installments on each of August 8, 2018, 2019 and 2020.
F2 The shares underlying this option vested in three equal installments on each of August 9, 2019, 2021 and 2021.
F3 The shares underlying this option vest, subject to continued employment, in three equal installments on each of August 20, 2022, 2023, and 2024.