4//SEC Filing
Montgomery William 4
Accession 0000921895-22-002540
CIK 0001438731other
Filed
Aug 23, 8:00 PM ET
Accepted
Aug 24, 7:32 PM ET
Size
12.8 KB
Accession
0000921895-22-002540
Insider Transaction Report
Form 4
Montgomery William
10% Owner
Transactions
- Purchase
Common Stock, par value $0.01 per share
2022-08-22$1.74/sh+20,000$34,700→ 281,128 total(indirect: By Trust) - Purchase
Common Stock, par value $0.01 per share
2022-08-23$1.50/sh+90,000$135,180→ 371,128 total(indirect: By Trust) - Purchase
Common Stock, par value $0.01 per share
2022-08-22$1.50/sh+20,000$30,000→ 20,000 total(indirect: By Trust)
Holdings
- 1,204,220
Common Stock, par value $0.01 per share
- 2,989,067(indirect: By Trust)
Term Loan C Convertible Debt Participation
Exercise: $0.54From: 2020-05-12Exp: 2023-11-28→ Common Stock, par value $0.01 per share (2,989,067 underlying)
Footnotes (7)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.724 to $1.740, 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 $1.460 to $1.540, 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]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.490 to $1.500, 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.
- [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.
Documents
Issuer
ALJ REGIONAL HOLDINGS INC
CIK 0001438731
Entity typeother
Related Parties
1- filerCIK 0001565119
Filing Metadata
- Form type
- 4
- Filed
- Aug 23, 8:00 PM ET
- Accepted
- Aug 24, 7:32 PM ET
- Size
- 12.8 KB