Van Buren Anna Mary 4
4 · ALJ REGIONAL HOLDINGS INC · Filed Aug 1, 2019
Insider Transaction Report
Form 4
Van Buren Anna Mary
DirectorPresident & CEO, Faneuil
Transactions
- Purchase
Common Stock
2019-07-30+55,555→ 55,555 total(indirect: By Trust) - Award
Warrants
2019-07-30+18,500→ 18,500 total(indirect: By Trust)Exercise: $1.80From: 2019-07-30Exp: 2021-07-30→ Common Stock (18,500 underlying)
Holdings
- 150,000
Stock Options (Right to Buy)
Exercise: $3.33Exp: 2027-08-11→ Common Stock (150,000 underlying) - 1,515,021
Common Stock
Footnotes (2)
- [F1]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.
- [F2]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.