Sec Form 4 Filing - Van Buren Anna Mary @ ALJ REGIONAL HOLDINGS INC - 2019-07-30

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Van Buren Anna Mary 2. Issuer Name and Ticker or Trading Symbol ALJ REGIONAL HOLDINGS INC [ ALJJ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X __ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) President & CEO, Faneuil (Last) (First) (Middle) 244 MADISON AVENUE, PMB #358 3. Date of Earliest Transaction (MM/DD/YY) 07/30/2019 (Street) NEW YORK, NY10016 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 1,515,021 D Common Stock 07/30/2019 P 55,555 A 55,555 I Held by Anna Mary Van Buren Trust Agreement Dated September 14, 2012

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Stock Options (Right to Buy) $ 3.33 ( 2 ) 08/11/2027 Common Stock 150,000 150,000 D Warrants $ 1.8 07/30/2019 A 18,500 07/30/2019 07/30/2021 Common Stock 18,500 ( 1 ) 18,500 I Held by Anna Mary Van Buren Trust Agreement Dated September 14, 2012

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Van Buren Anna Mary 244 MADISON AVENUE, PMB #358 NEW YORK, NY10016 X President & CEO, Faneuil Signatures /s/ Anna Van Buren 08/01/2019 Signature of Reporting Person Date

Explanation of Responses:

( 1 )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. ( 2 )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.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

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