ALJJ Pengajuan SEC - Alj Regional Holdings Inc- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Alj Regional Holdings Inc

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

October 3, 2022	15-12G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-37689 ALJ Regional Holdings, Inc. (Exact name of registrant as specifie
September 1, 2022	25	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-37689 ALJ Regional Holdin UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-37689 ALJ Regional Holdings, Inc. The Nasdaq Stock Market LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registere
August 22, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 22, 2022	EX-99.1	ALJ Regional Holdings, Inc. Announces Voluntary NASDAQ Delisting and SEC Deregistration EXHIBIT 99.1 ALJ Regional Holdings, Inc. Announces Voluntary NASDAQ Delisting and SEC Deregistration NEW YORK, August 22, 2022 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ? or the ?Company?) announced today that it has submitted a formal notice to Nasdaq Stock Market LLC (?NASDAQ?) of its decision to voluntarily delist its common stock from the NASDAQ Global Market and its intent to file a F
August 11, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 11, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
August 11, 2022	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2022 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2022 NEW YORK, NY, August 11, 2022 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its third quarter ended June 30, 2022. ALJ is the parent company of Faneuil, Inc. (?Faneuil?), a leading provider of call center services, back-office operations, and staffing services to
July 15, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin
July 15, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin
June 16, 2022	EX-10.1	Second Amended and Restated Employment Agreement, dated as of June 14, 2022, by and between Jess Ravich and ALJ Regional Holdings, Inc. EXHIBIT 10.1 SECOND AMENDED AND restated EMPLOYMENT AGREEMENT THIS SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?), dated as of June 14, 2022, is entered into by and between Jess Ravich (the ?Executive?) and ALJ Regional Holdings, Inc. (the ?Company?), and is effective as of the Effective Date (as defined below). RECITALS THE PARTIES ENTER THIS AGREEMENT on the basis of the fol
June 16, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Termination of a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 16, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
May 16, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 16, 2022	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2022 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2022 NEW YORK, NY, May 16, 2022 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its second quarter ended March 31, 2022. ALJ is the parent company of Faneuil, Inc. (?Faneuil?), a leading provider of call center services, back-office operations, and staffing services t
April 18, 2022	EX-10.1	Sale Bonus Release Agreement, dated April 16, 2022, by and between ALJ Regional Holdings, Inc. and Jess Ravich EXHIBIT 10.1 SALE BONUS RELEASE AGREEMENT April 16, 2022 Re: Payment and Release Dear Jess: Reference is hereby made in this Sale Bonus Release Agreement (this ?Release?) to your employment agreement (the ?Employment Agreement?) with ALJ Regional Holdings, Inc., (?Company?) dated June 21, 2020. You hereby acknowledge and agree that, in connection with the closing of the transactions (the ?Transact
April 18, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commiss
April 14, 2022	EX-10.2	Sale Bonus Release Agreement, dated April 13, 2022, by and between ALJ Regional Holdings, Inc. and Marc Reisch EXHIBIT 10.2 SALE BONUS RELEASE AGREEMENT April 13, 2022 Re: Payment and Release Dear Marc: Reference is hereby made in this Sale Bonus Release Agreement (this ?Release?) to your employment agreement (the ?Employment Agreement?) with Phoenix Color Corp., (?Phoenix?) dated December 17, 2021, which was assigned to and assumed by ALJ Regional Holdings, Inc. (the ?Company?) pursuant to that certain No
April 14, 2022	EX-99.1	ALJ REGIONAL HOLDINGS, INC. COMPLETES SALE OF PHOENIX COLOR CORP. EXHIBIT 99.1 ALJ REGIONAL HOLDINGS, INC. COMPLETES SALE OF PHOENIX COLOR CORP. NEW YORK, NY, April 13, 2022 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced today that it has completed the previously announced sale of all of the outstanding capital stock of its wholly owned subsidiary, Phoenix Color Corp. (?Phoenix?), to Lakeside Book Company (?Lakeside?). Headquartered in Hagerstown
April 14, 2022	EX-10.1	Novation Agreement, dated April 13, 2022, by and among Phoenix Color Corp., ALJ Regional Holdings, Inc. and Marc Reisch EXHIBIT 10.1 NOVATION AND RESTRICTIVE COVENANTS AGREEMENT This Novation and Restrictive Covenants Agreement (this ?Agreement?), dated April 13, 2022, is entered into by and among Phoenix Color Corp. (?Assignor?), ALJ Regional Holdings, Inc. (?Assignee?) and Marc Reisch (?Executive?). Assignor, Assignee and Executive are collectively referred to herein as the ?Parties? and individually as a ?Party?
April 14, 2022	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Completion of Acquisition or Disposition of Assets, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commiss
April 14, 2022	EX-2.2	Amendment to Stock Purchase Agreement, dated as of April 12, 2022, by and among ALJ Regional Holdings, Inc., Phoenix Color Corp. and LSC Communications Book LLC EXHIBIT 2.2 AMENDMENT TO STOCK PURCHASE AGREEMENT This AMENDMENT TO STOCK PURCHASE AGREEMENT, dated as of April 12, 2022 (this ?Amendment?), is made by and among ALJ Regional Holdings, Inc., a Delaware corporation (?Seller?), LSC Communications Book LLC, a Delaware limited liability company (?Purchaser?), and Phoenix Color Corp., a Delaware corporation (the ?Company?, and together with Seller and
April 14, 2022	EX-99.2	ALJ REGIONAL HOLDINGS, INC. AND SUBSIDIARIES INDEX TO UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.2 ALJ REGIONAL HOLDINGS, INC. AND SUBSIDIARIES INDEX TO UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Page Number Introduction to Unaudited Pro Forma Condensed Consolidated Financial Statements P-2 Unaudited Pro Forma Condensed Consolidated Balance Sheet P-3 Unaudited Pro Forma Condensed Consolidated Statement of Operations P-4 Notes to Unaudited Pro Forma Condensed Co
April 4, 2022	EX-99.1	ALJ REGIONAL HOLDINGS, INC. COMPLETES SALE OF TOLLING AND TRANSPORTATION AND HEALTH BENEFIT EXCHANGE VERTICALS OF FANEUIL, INC. EXHIBIT 99.1 ALJ REGIONAL HOLDINGS, INC. COMPLETES SALE OF TOLLING AND TRANSPORTATION AND HEALTH BENEFIT EXCHANGE VERTICALS OF FANEUIL, INC. NEW YORK, NY, April 4, 2022 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced today that it has completed the previously announced sale of the tolling and transportation and health benefit exchange verticals of its wholly owned subsidiary, Faneui
April 4, 2022	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
April 1, 2022	EX-99.1	ALJ REGIONAL HOLDINGS, INC. AND SUBSIDIARIES INDEX TO UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. AND SUBSIDIARIES INDEX TO UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Page Number Introduction to Unaudited Pro Forma Condensed Consolidated Financial Statements P-2 Unaudited Pro Forma Condensed Consolidated Balance Sheet P-3 Unaudited Pro Forma Condensed Consolidated Statement of Operations P-4 Notes to Unaudited Pro Forma Condensed Co
April 1, 2022	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
April 1, 2022	EX-10.3	First Amendment to Amended and Restated Financing Agreement, dated April 1, 2022, by and among ALJ Regional Holdings, Inc., Faneuil Inc., and Phoenix Color Corp., as Borrowers, each subsidiary of ALJ Regional Holdings, Inc. listed as a guarantor on the signature pages, as Guarantors, the lenders from time to time, as Lenders, and PNC Bank, National Association, as Collateral Agent and Administrative Agent EXHIBIT 10.3 FIRST AMENDMENT TO AMENDED AND RESTATED FINANCING AGREEMENT FIRST AMENDMENT, dated as of April 1, 2022 (this ?Amendment?), to the Amended and Restated Financing Agreement, dated as of June 29, 2021, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the ?Financing Agreement?), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the
April 1, 2022	EX-10.2	Letter Agreement, dated April 1, 2022, by and between Faneuil, Inc. and Anna Van Buren EXHIBIT 10.2 [FANEUIL LETTERHEAD] April 1, 2022 Ms. Anna Van Buren 248 Shorecrest Lane Hampton, VA 23669 Dear Anna: In connection with the proposed transaction by and among ALJ Regional Holdings, Inc., a Delaware corporation (?Parent?) Faneuil, Inc., a Delaware corporation and wholly-owned subsidiary of Parent (the ?Company?), and TTEC Government Solutions, LLC, a Delaware limited liability compan
April 1, 2022	EX-10.1	Transition Services Agreement, dated April 1, 2022, by and between Faneuil, Inc. and TTEC Government Solutions LLC EXHIBIT 10.1 TRANSITION SERVICES AGREEMENT This Transition Services Agreement (this ?Agreement?), dated as of April 1, 2022, is made by and between Faneuil, Inc., a Delaware corporation (?Provider?) and TTEC Government Solutions, LLC, a Colorado limited liability company (?Recipient?). Recitals A.Provider and Recipient are parties to that certain Asset Purchase Agreement, dated as of December 21,
April 1, 2022	EX-2.2	Amendment to Asset Purchase Agreement, dated April 1, 2022, by and among ALJ Regional Holdings, Inc., Faneuil, Inc., TTEC Government Solutions LLC and TTEC Holdings, Inc. EXHIBIT 2.2 AMENDMENT TO ASSET PURCHASE AGREEMENT This Amendment to Asset Purchase Agreement (this ?Amendment?) is made and entered into effective as of April 1, 2022, by and among ALJ Regional Holdings, Inc., a Delaware corporation, Faneuil, Inc., a Delaware corporation and a wholly-owned direct Subsidiary of Parent, TTEC Government Solutions, LLC, a Colorado limited liability company and TTEC Ho
March 17, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ( )D
March 17, 2022	DEFM14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ?Preliminary Proxy Statement ?Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ?Definitive Proxy Statemen
March 4, 2022	PREM14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 PREM14A 1 aljj-prem14a20220304.htm PREM14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted by R
February 11, 2022	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2021 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2021 NEW YORK, NY, February 11, 2022 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its first quarter ended December 31, 2021. ALJ is a holding company, whose wholly owned subsidiaries during the first quarter included Faneuil, Inc. (?Faneuil?), and Phoenix Color C
February 11, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
February 11, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIO
February 9, 2022	SC 13G/A	ALJJ / ALJ Regional Holdings, Inc. / Montgomery William Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 ALJ Regional Holdings, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 001627108 (CUSIP Number) Decembe
February 8, 2022	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 10 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 10) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and
February 8, 2022	EX-99.1	VOTING AND SUPPORT AGREEMENT Confidential EXECUTION VERSION VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT (this ?Agreement?), dated as of February 3, 2022, is by and between LSC Communications Book LLC, a Delaware limited liability company (?Purchaser?), and Jess Ravich (?Stockholder?).
February 4, 2022	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2022 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commi
February 4, 2022	EX-99.1	LAKESIDE BOOK COMPANY AND ALJ REGIONAL HOLDINGS, INC. ENTER INTO DEFINITIVE AGREEMENT FOR THE ACQUISITION OF PHOENIX COLOR EXHIBIT 99.1 LAKESIDE BOOK COMPANY AND ALJ REGIONAL HOLDINGS, INC. ENTER INTO DEFINITIVE AGREEMENT FOR THE ACQUISITION OF PHOENIX COLOR February 4, 2022 ? WARRENVILLE, IL and NEW YORK, NY ? Lakeside Book Company (?Lakeside?) and ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) jointly announced today that they have entered into a definitive agreement for Lakeside?s acquisition of all of the issu
February 4, 2022	EX-2.1	Stock Purchase Agreement, dated as of February 3, 2022, by and among ALJ Regional Holdings, Inc., Phoenix Color Corp. and LSC Communications Book LLC (incorporated herein by reference to Exhibit 2.1 of the Company’s Current Report on Form 8-K filed on February 4, 2022) EXHIBIT 2.1 STOCK PURCHASE AGREEMENT BY AND BETWEEN ALJ REGIONAL HOLDINGS, INC., LSC COMMUNICATIONS BOOK LLC AND PHOENIX COLOR CORP. DATED AS OF FEBRUARY 3, 2022 Table of Contents Page Article I. Purchase and Sale. 1 1.01 Purchase and Sale1 1.02 Consideration2 Article II. Closing. 9 2.01 Date of Closing9 2.02 Deliveries9 Article III. Representations and Warranties of Seller. 9 3.01 Organization9 3
December 23, 2021	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
December 23, 2021	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ENTERS INTO DEFINITIVE AGREEMENT TO SELL TOLLING AND TRANSPORTATION AND HEALTH BENEFIT EXCHANGE VERTICALS OF FANEUIL, INC. EXHIBIT 99.1 ALJ REGIONAL HOLDINGS, INC. ENTERS INTO DEFINITIVE AGREEMENT TO SELL TOLLING AND TRANSPORTATION AND HEALTH BENEFIT EXCHANGE VERTICALS OF FANEUIL, INC. NEW YORK, NY, December 22, 2021 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced today that it has entered into a definitive agreement to sell the tolling and transportation and health benefit exchange verticals of its who
December 23, 2021	EX-2.1	Asset Purchase Agreement, dated December 21, 2021, by and among ALJ Regional Holdings, Inc., Faneuil, Inc., TTEC Government Solutions, LLC and TTEC Holdings, Inc. EXHIBIT 2.1 EXECUTION VERSION INFORMATION IN THIS EXHIBIT IDENTIFIED BY ?[***]? IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(2)(II) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) IS CUSTOMARILY AND ACTUALLY TREATED BY THE REGISTRANT AS PRIVATE OR CONFIDENTIAL. ASSET PURCHASE AGREEMENT BY AND AMONG ALJ REGIONAL HOLDINGS, INC. FANEUIL, INC. TTEC GOVERNMENT SOLUTIONS, LLC
December 20, 2021	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER ENDED SEPTEMBER 30, 2021 EX-99.1 2 aljj-ex9916.htm EX-99.1 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER ENDED SEPTEMBER 30, 2021 NEW YORK, NY, December 20, 2021 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its fourth quarter and year ended September 30, 2021. ALJ is a holding company, whose wholly owned subsidiaries during the fourth quarter include
December 20, 2021	EX-10.13	Filed herewith EXHIBIT 10.13 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?), dated as of December 17, 2021, is entered into by and between Marc Reisch (the ?Executive?) and Phoenix Color Corp. (the ?Company?). WHEREAS, the Executive and ALJ Regional Holdings, Inc. (?ALJJ?) are party to that certain Employment Agreement (the ?Prior Agreement?), dated November 6, 2020, pursuant to which the Exec
December 20, 2021	EX-21.1	Filed herewith Exhibit 21.1 LIST OF SUBSIDIARIES Name State of Organization or Incorporation Faneuil, Inc. Delaware Phoenix Color Corp Delaware
December 20, 2021	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-37689 ALJ REGIONAL H
December 20, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
October 25, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commi
October 25, 2021	EX-10.1	Amended and Restated Employment Agreement, dated October 20, 2021, by and between Faneuil, Inc. and Anna Van Buren EXHIBIT 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?), dated as of October 20, 2021, is entered into by and between Faneuil, Inc., a Delaware corporation (the ?Company?) and Anna Van Buren (the ?Executive?). WHEREAS, the Executive is currently employed as President and Chief Executive Officer of the Company pursuant to an employmen
August 23, 2021	8-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2021 ALJ Regional Ho UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
August 20, 2021	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2021 ALJ Regional Hold UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 20, 2021	EX-10.1	Incorporated by reference to Exhibit 10.1 to Form 8-K as filed on August 20, 2021 EXHIBIT 10.1 THIRD Amended and restated EMPLOYMENT AGREEMENT This THIRD AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?), dated as of August 20, 2021, is entered into by and between Brian Hartman (the ?Executive?) and ALJ Regional Holdings, Inc. (the ?Company?), and is effective as of the Effective Date (as defined below). RECITALS THE PARTIES ENTER THIS AGREEMENT on the basis of the f
August 19, 2021	8-K	Regulation FD Disclosure, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
August 12, 2021	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED June 30, 2021 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED June 30, 2021 NEW YORK, NY, August 12, 2021 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its third quarter ended June 30, 2021. ALJ is a holding company, whose wholly owned subsidiaries during the third quarter included Faneuil, Inc. (?Faneuil?), and Phoenix Color Corp. (?Pho
August 12, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
July 6, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ( )D
July 6, 2021	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) (X)D
July 1, 2021	EX-10.3	Collateral Agent and Term Loan Lender Exit Agreement, dated as of June 29, 2021, among ALJ Regional Holdings, Inc., Faneuil Inc., and Phoenix Color Corp., as Borrowers, each subsidiary of ALJ Regional Holdings, Inc. listed as a guarantor on the signature pages, as Guarantors, the lenders from time to time, as Lenders, Cerberus Business Finance, LLC, as Collateral Agent and PNC Bank, National Association, as Administrative Agent EX-10.3 4 aljj-ex1039.htm EX-10.3 Exhibit 10.3 COLLATERAL AGENT AND TERM LOAN LENDER EXIT AGREEMENT COLLATERAL AGENT AND TERM LOAN LENDER EXIT AGREEMENT (this "Agreement"), dated as of June 29, 2021, by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, Inc., a Delaware corporation ("Faneuil"), Phoenix Color Corp., a Delaware corporation ("PCC", and together wit
July 1, 2021	EX-10.5	Convertible Promissory Note issued by the Company to Elizabeth Glazer 2012 Trust, dated June 29, 2021 Exhibit 10.5 THIS CONVERTIBLE PROMISSORY NOTE AND ANY SECURITIES INTO WHICH IT IS CONVERTIBLE HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS CONVERTIBLE PROMISSORY NOTE AND ANY SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEM
July 1, 2021	EX-10.4	Convertible Promissory Note issued by the Company to Jess Ravich, dated June 29, 2021 Exhibit 10.4 THIS CONVERTIBLE PROMISSORY NOTE AND ANY SECURITIES INTO WHICH IT IS CONVERTIBLE HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS CONVERTIBLE PROMISSORY NOTE AND ANY SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEM
July 1, 2021	EX-99.1	ALJ REGIONAL HOLDINGS, INC. REPLACES ITS EXISTING TERM LOAN AND AMENDS ITS REVOLVING CREDIT FACILITY Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. REPLACES ITS EXISTING TERM LOAN AND AMENDS ITS REVOLVING CREDIT FACILITY NEW YORK, NY, June 29, 2021 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ? or ?Company?) announced today that it has completed the replacement of its existing term loan and amended its existing revolving credit facility. Key features of the transactions include: ? Significant Redu
July 1, 2021	EX-10.1	Financing Agreement, dated as of June 29, 2021 among ALJ Regional Holdings, Inc., Faneuil Inc., and Phoenix Color Corp., as Borrowers, each subsidiary of ALJ Regional Holdings, Inc. listed as a guarantor on the signature pages, as Guarantors, the lenders from time to time, as Lenders, and Blue Torch Finance, LLC, as Collateral Agent and Administrative Agent Exhibit 10.1 FINANCING AGREEMENT Dated as of June 29, 2021 by and among ALJ REGIONAL HOLDINGS, INC., FANEUIL, INC. AND PHOENIX COLOR CORP., as Borrowers, EACH SUBSIDIARY OF ALJ REGIONAL HOLDINGS, INC. LISTED AS A GUARANTOR ON THE SIGNATURE PAGES HERETO, as Guarantors, THE LENDERS FROM TIME TO TIME PARTY HERETO, as Lenders, BLUE TORCH FINANCE, LLC, as Collateral Agent and Administrative Agent TABLE
July 1, 2021	EX-10.2	Amended and Restated Financing Agreement, dated as of June 29, 2021, among ALJ Regional Holdings, Inc., Faneuil Inc., and Phoenix Color Corp., as Borrowers, each subsidiary of ALJ Regional Holdings, Inc. listed as a guarantor on the signature pages, as Guarantors, the lenders from time to time, as Lenders, and PNC Bank, National Association, as Collateral Agent and Administrative Agent Exhibit 10.2 AMENDED AND RESTATED FINANCING AGREEMENT Dated as of June 29, 2021 by and among ALJ REGIONAL HOLDINGS, INC., FANEUIL, INC. AND PHOENIX COLOR CORP., as Borrowers, EACH SUBSIDIARY OF ALJ REGIONAL HOLDINGS, INC. LISTED AS A GUARANTOR ON THE SIGNATURE PAGES HERETO, as Guarantors, THE LENDERS FROM TIME TO TIME PARTY HERETO, as Lenders, and PNC BANK, NATIONAL ASSOCIATION, as Administrative
July 1, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
June 29, 2021	EX-99.1	ALJ REGIONAL HOLDINGS, INC. PLANS TO REPLACE ITS EXISTING TERM LOAN AND REVOLVING CREDIT FACILITY Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. PLANS TO REPLACE ITS EXISTING TERM LOAN AND REVOLVING CREDIT FACILITY NEW YORK, NY, June 29, 2021 ? CORRECTION: ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ? or ?Company?) inadvertently announced today that it has completed the replacement of its existing term loan and amended its existing revolving credit facility. The Company is currently negotiating
June 29, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
May 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
May 12, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 12, 2021	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2021 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2021 NEW YORK, NY, May 12, 2021 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its second quarter ended March 31, 2021. ALJ is a holding company, whose wholly owned subsidiaries during the second quarter included Faneuil, Inc. (?Faneuil?), Floors-N-More, LLC, d/b/a C
February 11, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
February 11, 2021	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2020 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2020 NEW YORK, NY, February 11, 2021 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its first quarter ended December 31, 2020. ALJ is a holding company, whose wholly owned subsidiaries are Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a Carpets N' More (“Carpe
February 11, 2021	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIO
January 25, 2021	EX-10.1	Purchase and Sale Agreement, dated as of January 23, 2021, by and among ALJ Regional Holdings, Inc., Superior Interior Finishes, LLC and Floors-N-More, LLC. Exhibit 10.1 PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement (this “Agreement”), dated January 23, 2021 is made by and among ALJ Regional Holdings, Inc., a Delaware corporation (the “Seller”), Superior Interior Finishes, LLC, a Nevada limited liability company (the “Purchaser”), and solely with respect to Section 4.2, Floors-N-More, LLC, a Nevada limited liability company (the “Compan
January 25, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 23, 2021 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commi
December 18, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
December 18, 2020	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2020 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2020 NEW YORK, NY, December 18, 2020 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its fourth quarter and year ended September 30, 2020. ALJ is a holding company, whose wholly owned subsidiaries are Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a C
December 18, 2020	10-K	Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-37689 ALJ REGIONAL H
December 18, 2020	EX-21.1	List of Subsidiaries Exhibit 21.1 LIST OF SUBSIDIARIES Name State of Organization or Incorporation Faneuil, Inc. Delaware Floors-N-More, LLC (d/b/a Carpets N’ More) Nevada Phoenix Color Corp Delaware
November 9, 2020	EX-10.1	Employment Agreement, dated November 6, 2020, by and between Phoenix Color Corp. and Marc Reisch EXHIBIT 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of November 6, 2020, is entered into by and between Marc Reisch (the “Executive”) and Phoenix Color Corp. (the “Company”). WHEREAS, the Executive and ALJ Regional Holdings, Inc. (“ALJJ”) are party to that certain Employment Agreement (the “Prior Agreement”), dated August 12, 2018, pursuant to which the Executi
November 9, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commi
October 7, 2020	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES INVESTOR UPDATE FOR THE FISCAL FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2020 GUIDANCE Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES INVESTOR UPDATE FOR THE FISCAL FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2020 GUIDANCE NEW YORK, NY, October 7, 2020 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced that its results for the fiscal fourth quarter and year ended September 30, 2020 will be above previously provided guidance. Jess Ravich, Chief Executive Officer of AL
October 7, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 7, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 24, 2020	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 12, 2020	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2020 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2020 NEW YORK, NY, August 12, 2020 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its third quarter ended June 30, 2020. ALJ is a holding company, whose wholly owned subsidiaries are Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a Carpets N' More (“Carpets”), and
August 12, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 12, 2020	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
July 20, 2020	EX-99.1	ALJ Regional Holdings, Inc. Appoints Julie Cavanna-Jerbic as New Director EXHIBIT 99.1 ALJ Regional Holdings, Inc. Appoints Julie Cavanna-Jerbic as New Director NEW YORK, July 20, 2020 - ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) today announced that Julie Cavanna-Jerbic has been appointed as a new director on its Board of Directors (the “Board”), effective July 17, 2020. Ms. Cavanna-Jerbic will serve as a member of ALJ’s Audit Committee and Compensation, Nomina
July 20, 2020	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
July 9, 2020	DEFA14A	- DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ( )D
July 9, 2020	DEF 14A	- DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) (X)D
June 23, 2020	EX-10.1	First Amended and Restated Employment Agreement, dated June 21, 2020, by and between the Company and Jess Ravich EXHIBIT 10.1 First AMENDED AND restated EMPLOYMENT AGREEMENT THIS FIRST AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”), dated as of June 21, 2020, is entered into by and between Jess Ravich (the “Executive”) and ALJ Regional Holdings, Inc. (the “Company”), and is effective as of the Effective Date (as defined below). RECITALS THE PARTIES ENTER THIS AGREEMENT on the basis of the follo
June 23, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
May 29, 2020	SC 13G	ALJJ / ALJ Regional Holdings, Inc. / Montgomery William - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
May 15, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 15, 2020	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2020 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2020 NEW YORK, NY, May 15, 2020 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its second quarter ended March 31, 2020. ALJ is a holding company, whose wholly owned subsidiaries are Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a Carpets N' More (“Carpets”), and
May 15, 2020	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 9 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 9) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
May 15, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
May 13, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 13, 2020	EX-10.1	Ninth Amendment to Financing Agreement, dated as of May 12, 2020, by and among the Company, Faneuil, Carpets, Phoenix, each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, the Collateral Agent, and the Administrative Agent EXHIBIT 10.1 NINTH AMENDMENT TO FINANCING AGREEMENT NINTH AMENDMENT, dated as of May 12, 2020 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, Inc., a Delaware cor
April 10, 2020	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
April 8, 2020	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 8 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 8) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
March 27, 2020	EX-10.1	Eighth Amendment to Financing Agreement, dated as of March 26, 2020, by and among the Company, Faneuil, Carpets, Phoenix, each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, the Collateral Agent, and the Administrative Agent EXHIBIT 10.1 EIGHTH AMENDMENT TO FINANCING AGREEMENT EIGHTH AMENDMENT, dated as of March 26, 2020 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, Inc., a Delaware
March 27, 2020	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commiss
March 16, 2020	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 7 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 7) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
February 14, 2020	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
February 14, 2020	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2019 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2019 NEW YORK, NY, February 14, 2020 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its first quarter ended December 31, 2019. ALJ is a holding company, whose wholly-owned subsidiaries are Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a Carpets N' More (“Carpe
February 14, 2020	EX-10.1	Seventh Amendment to Financing Agreement, dated as of February 13, 2020, by and among the Company, Faneuil, Carpets, Phoenix, each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, the Collateral Agent, and the Administrative Agent EXHIBIT 10.1 SEVENTH AMENDMENT TO FINANCING AGREEMENT SEVENTH AMENDMENT, dated as of February 13, 2020 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, Inc., a Del
February 14, 2020	10-Q	ALJJ / ALJ Regional Holdings, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIO
February 14, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2020 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
December 23, 2019	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
December 23, 2019	10-K	ALJJ / ALJ Regional Holdings, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-37689 ALJ REGIONAL H
December 23, 2019	EX-10.1	Sixth Amendment to Financing Agreement, dated as of December 17, 2019, by and among the Company, Faneuil, Carpets, Phoenix, each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, the Collateral Agent, and the Administrative Agent EXHIBIT 10.1 SIXTH AMENDMENT TO FINANCING AGREEMENT SIXTH AMENDMENT, dated as of December 17, 2019 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, Inc., a Delawar
December 23, 2019	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2019 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2019 NEW YORK, NY, December 23, 2019 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its fourth quarter and year ended September 30, 2019. ALJ is a holding company, whose wholly-owned subsidiaries are Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a C
December 23, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 23, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
December 23, 2019	EX-21.1	List of Subsidiaries Exhibit 21.1 LIST OF SUBSIDIARIES Name State of Organization or Incorporation Faneuil, Inc. Delaware Floors-N-More, LLC (d/b/a Carpets N’ More) Nevada Phoenix Color Corp Delaware
October 24, 2019	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 24, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commi
October 4, 2019	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
September 10, 2019	EX-99.1	VOTING AGREEMENT VOTING AGREEMENT This Voting Agreement (this “Agreement”) is made as of September 6, 2019 (the “Effective Date”), by and among ALJ Regional Holdings, Inc.
September 10, 2019	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 6 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 6) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
August 22, 2019	EX-10.1	Second Amended and Restated Employment Agreement, dated August 20, 2019, by and between ALJ Regional Holdings, Inc. and Brian Hartman Exhibit 10.1 Second Amended and restated EMPLOYMENT AGREEMENT This SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”), dated as of August 20, 2019, is entered into by and between Brian Hartman (the “Executive”) and ALJ Regional Holdings, Inc. (the “Company”), and is effective as of the Effective Date (as defined below). RECITALS THE PARTIES ENTER THIS AGREEMENT on the basis of the
August 22, 2019	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 22, 2019	EX-16.1	Letter from Mayer Hoffman McCann P.C. to the SEC, dated August 22, 2019, regarding the statements made in this Current Report on Form 8-K Exhibit 16.1 August 22, 2019 Securities and Exchange Commission 100 First Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: We have read Item 4.01 of ALJ Regional Holdings, Inc’s Form 8-K dated August 22, 2019, and we agree with the statements set forth in the second and third paragraphs, insofar as they relate to our firm. We have no basis to agree or disagree with other statements made b
August 22, 2019	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 12, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 12, 2019	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2019 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2019 NEW YORK, NY, August 12, 2019 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its third quarter ended June 30, 2019. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a Carpets N' More (“Carpets”)
August 12, 2019	10-Q	ALJJ / ALJ Regional Holdings, Inc. 10-Q - Quarterly Report - 10-Q(2019.06.30) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
August 1, 2019	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 5 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 5) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
July 31, 2019	EX-10.1	Fifth Amendment to Financing Agreement, dated as of July 31, 2019, by and among the Company, Faneuil, Carpets, Phoenix, each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, the Collateral Agent, and the Administrative Agent Exhibit 10.1 FIFTH AMENDMENT TO FINANCING AGREEMENT FIFTH AMENDMENT, dated as of July 31, 2019 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, Inc., a Delaware co
July 31, 2019	EX-10.5	Registration Rights Agreement, dated July 30, 2019, by and among the Company and the purchasers party thereto Exhibit 10.5 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement, dated as of July 30, 2019, is by and between ALJ Regional Holdings, Inc., a Delaware corporation (the “Corporation”), and each of the investors, severally and not jointly, listed on the Schedule of Purchasers attached hereto as Exhibit A (each of which is herein referred to as a “Purchaser” and collectively as the “Purc
July 31, 2019	EX-10.3	Membership Interest Purchase Agreement, dated July 31, 2019, by and among Faneuil, Gregg L. Antenen, Richard A. Veed and Sean P. Murphy Exhibit 10.3 MEMBERSHIP INTEREST PURCHASE AGREEMENT BY AND AMONG GREGG L. ANTENEN, RICHARD A. VEED, SEAN P. MURPHY AND FANEUIL, INC. Dated as of July 31, 2019 TABLE OF CONTENTS Page Article I PURCHASE AND SALE1 Section 1.1 Closing1 Section 1.2 Purchase and Sale1 Section 1.3 Closing Deliveries by the Sellers3 Section 1.4 Closing Deliveries by Purchaser4 Section 1.5 Taking of Further Action4 Section
July 31, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissi
July 31, 2019	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES ACQUISITION OF REALTIME DIGITAL INNOVATIONS, LLC, AMENDMENT TO TERM LOAN AND CREDIT FACILITY, FULL-TIME COMMITMENT OF CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER AND PRELIMINARY THIRD QUARTER 2019 FINANCIAL Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES ACQUISITION OF REALTIME DIGITAL INNOVATIONS, LLC, AMENDMENT TO TERM LOAN AND CREDIT FACILITY, FULL-TIME COMMITMENT OF CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER AND PRELIMINARY THIRD QUARTER 2019 FINANCIAL RESULTS NEW YORK, NY. July 31, 2019 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ” or the “Company”) announced the following today:
July 31, 2019	EX-10.2	Employment Agreement, dated July 29, 2019, by and between the Company and Jess Ravich Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of July 29, 2019, is entered into by and between Jess Ravich (the “Executive”) and ALJ Regional Holdings, Inc. (the “Company”), and is effective as of the Effective Date (as defined below). RECITALS THE PARTIES ENTER THIS AGREEMENT on the basis of the following facts, understandings and intentions: A.The Compa
July 31, 2019	EX-10.4	Common Stock Purchase Agreement, dated July 30, 2019, by and among the Company and the purchasers party thereto Exhibit 10.4 ALJ regional holdings, inc. Common stock PURCHASE AGREEMENT This Common Stock Purchase Agreement (this “Agreement”) is made as of July 30, 2019 among ALJ Regional Holdings, Inc., a Delaware corporation (the “Corporation”), and each of the investors, severally and not jointly, listed on the Schedule of Purchasers attached hereto as Exhibit A (each of which is herein referred to as a “P
July 23, 2019	DEFA14A	ALJJ / ALJ Regional Holdings, Inc. DEFA14A - - DEFA14A(FY'19) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ( )D
July 23, 2019	DEF 14A	ALJJ / ALJ Regional Holdings, Inc. DEF 14A - - DEF 14A(SEP'19 ANNUAL SHAREHOLDERS' MEETING) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) (X)D
May 13, 2019	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2019 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2019 NEW YORK, NY, May 13, 2019 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its second quarter ended March 31, 2019. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d/b/a Carpets N' More (“Carpets”
May 13, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 13, 2019	10-Q	ALJJ / ALJ Regional Holdings, Inc. 10-Q Quarterly Report 10-Q(Q2'19) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
February 11, 2019	10-Q	ALJJ / ALJ Regional Holdings, Inc. 10-Q(2018.12.31) (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2018 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIO
February 11, 2019	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2018 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2018 NEW YORK, NY, February 11, 2019 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its first quarter ended December 31, 2018. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, dba Carpets N' More (“C
February 11, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2019 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
January 10, 2019	8-K/A	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Co
January 10, 2019	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2018 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2018 NEW YORK, NY, December 17, 2018 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its fourth quarter and year ended September 30, 2018. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d
December 17, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
December 17, 2018	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2018 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2018 NEW YORK, NY, December 17, 2018 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its fourth quarter and year ended September 30, 2018. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, d
December 17, 2018	EX-21.1	List of Subsidiaries Exhibit 21.1 LIST OF SUBSIDIARIES Name State of Organization or Incorporation Faneuil, Inc. Delaware Floors-N-More, LLC (d/b/a Carpets N’ More) Nevada Phoenix Color Corp Delaware
December 17, 2018	EX-3.5	Restated Certificate of Incorporation of ALJ Regional Holdings, Inc. as filed with the Secretary of State of the State of Delaware on August 17, 2018 EXHIBIT 3.5 EXHIBIT A RESTATED CERTIFICATE OF INCORPORATION OF ALJ REGIONAL HOLDINGS, INC. ARTICLE I The name of the corporation is ALJ Regional Holdings, Inc. (the “Corporation”). ARTICLE II The purpose for which the Corporation is formed is to engage in any lawful act or activity for which corporations may be organized under the General Corporation Law of the State of Delaware (the “Delaware Gen
December 17, 2018	10-K	ALJJ / ALJ Regional Holdings, Inc. 10-K(2018.09.30) (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-37689 ALJ REGIONAL H
November 30, 2018	EX-10.1	Fourth Amendment to Financing Agreement, dated as of November 28, 2018, by and among the Company, Faneuil, Inc., Floors-N-More, LLC, Phoenix Color Corp., each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, Cerberus Business Finance, LLC, as collateral agent for the lenders, and PNC Bank, National Association, as administrative agent for the lenders EXHIBIT 10.1 FOURTH AMENDMENT TO FINANCING AGREEMENT FOURTH AMENDMENT, dated as of November 28, 2018 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, Inc., a Delaw
November 30, 2018	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Comm
November 30, 2018	EX-10.2	Backstop Letter Agreement, dated as of November 28, 2018, between the Company and Jess Ravich EXHIBIT 10.2 Jess Ravich 149 S Barrington Ave., P.O. 828 Los Angeles, CA 90049 November 28, 2018 ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Re: Backstop Letter Agreement - ALJ Regional Holdings, Inc. Ladies and Gentlemen: This letter is delivered to you in connection with (i) the Financing Agreement, dated as of August 14, 2015 (as amended by the Fourth Amendment (
August 21, 2018	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 3 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 4) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
August 20, 2018	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 17, 2018 ALJ Regional Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 20, 2018	EX-3.1	ALJ Regional Holdings, Inc. Restated Certificate of Incorporation, as amended and restated effective August 17, 2018 EXHIBIT 3.1 RESTATED CERTIFICATE OF INCORPORATION OF ALJ REGIONAL HOLDINGS, INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) ALJ REGIONAL HOLDINGS, INC., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, hereby certifies as follows: FIRST. The name of the corporation is ALJ Regional Holdi
August 14, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commis
August 14, 2018	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2018 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2018 NEW YORK, NY, August 14, 2018 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its third quarter ended June 30, 2018. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (including the customer management outsourcing business acquired f
August 14, 2018	10-Q	ALJJ / ALJ Regional Holdings, Inc. Q3'18 10Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2018 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
August 3, 2018	DEFA14A	ALJJ / ALJ Regional Holdings, Inc. DEFA14A(REMINDER TO VOTE) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ( )D
August 3, 2018	EX-10.1	First Amendment to Employment Agreement, dated August 8, 2018, by and between ALJ Regional Holdings, Inc. and Brian Hartman Exhibit 10.1 FIRST Amended and restated EMPLOYMENT AGREEMENT This FIRST AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”), dated as of August 2, 2018, is entered into by and between Brian Hartman (the “Executive”) and ALJ Regional Holdings, Inc. (the “Company”), and is effective as of the Effective Date (as defined below). RECITALS THE PARTIES ENTER THIS AGREEMENT on the basis of the fo
August 3, 2018	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commiss
July 2, 2018	DEFA14A	ALJJ / ALJ Regional Holdings, Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ( )D
July 2, 2018	DEF 14A	ALJJ / ALJ Regional Holdings, Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( ) Preliminary Proxy Statement ( ) Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) (X
June 18, 2018	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 3 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
May 21, 2018	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 14, 2018	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2018 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
May 14, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commissio
May 14, 2018	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2018 AND REVISES FISCAL 2018 GUIDANCE Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2018 AND REVISES FISCAL 2018 GUIDANCE NEW YORK, NY, May 14, 2018 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its second quarter ended March 31, 2018. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (including the customer manageme
March 19, 2018	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 2 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
March 14, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 12, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation) (Commiss
March 14, 2018	EX-10.2	Employment Agreement, dated April 14, 2014, by and between Floors-N-More, LLC and Steven Chesin Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of April 14, 2014, is entered into by and between Floors-N-More, LLC, a Nevada limited liability company (the “Company”) and Steven Chesin (the “Executive”). WHEREAS, ALJ Regional Holdings, Inc. is acquiring the outstanding equity interest of Floors-N-More, LLC from Maple CNM Holdings, LLC (the “Transaction”);
March 14, 2018	EX-10.3	First Amendment to Employment Agreement, dated December 27, 2017, by and between Floors-N-More, LLC and Steven Chesin Exhibit 10.3 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (this “Amendment”) is made and entered into on December 29, 2017, by and between Floors-N-More, LLC, a Nevada limited liability company (the “Company”) and Steven Chesin (the “Executive”), and shall become effective on January 1, 2018. WHEREAS, the Executive and the Company previously entered into tha
March 14, 2018	EX-10.1	Employment Agreement, dated as of March 12, 2018, by and between ALJ Regional Holdings, Inc. and Marc Reisch Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of March 12, 2018, is entered into by and between Marc Reisch (the “Executive”) and Phoenix Color Corp. (the “Company”). WHEREAS, the Executive and ALJ Regional Holdings, Inc. (“ALJJ”) are party to that certain Employment Agreement (the “Prior Agreement”), dated August 14, 2015, pursuant to which the Executive
February 26, 2018	SC 13D/A	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - AMENDMENT NO. 1 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and T
February 14, 2018	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2017 aljj-ex9916.htm Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2017 NEW YORK, NY, February 14, 2018 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its first quarter ended December 31, 2017. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (including the customer management outso
February 14, 2018	10-Q	ALJJ / ALJ Regional Holdings, Inc. 10-Q (Q1'18) (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2017 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIO
February 14, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition aljj-8k20180214.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2018 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of
December 19, 2017	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2017 aljj-ex9919.htm Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FOURTH QUARTER AND YEAR ENDED SEPTEMBER 30, 2017 NEW YORK, NY, December 19, 2017 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its fourth quarter and year ended September 30, 2017. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (including the cus
December 19, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition aljj-8k20171219.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of
December 19, 2017	EX-21.1	LIST OF SUBSIDIARIES Exhibit 21.1 LIST OF SUBSIDIARIES Name State of Organization or Incorporation Faneuil, Inc. Delaware Floors-N-More, LLC (d/b/a Carpets N? More) Nevada Phoenix Color Corp Delaware 1
December 19, 2017	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-37689 ALJ REGIONAL H
November 8, 2017	SC 13G	ALJJ / ALJ Regional Holdings, Inc. / Harland Clarke Holdings Corp - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to Be Included in Statements Filed Pursuant to Rules 13d-1 (b), (c) and (d) and Amendments Thereto Filed Pursuant To 13d-2 Under the Securities Exchange Act of 1934* ALJ Regional Holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 001627108 (CUSIP Number) December
November 2, 2017	CORRESP	ALJJ / ALJ Regional Holdings, Inc. ESP aljj-corresp.htm 1460 El Camino Real \| 2nd floor \| Menlo Park \| CA \| 94025-4110 WWW.SHEARMAN.COM \| T +1.650.838.3600 \| F +1.650.838.3699 November 2, 2017 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: ALJ Regional Holdings, Inc. Registration Statement on Form S-3 Registration No. 333-220944 Ladies and Gentlemen: On behalf of
November 1, 2017	CORRESP	ALJJ / ALJ Regional Holdings, Inc. ESP aljj-corresp.htm 1460 El Camino Real \| 2nd floor \| Menlo Park \| CA \| 94025-4110 WWW.SHEARMAN.COM \| T +1.650.838.3600 \| F +1.650.838.3699 November 1, 2017 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: ALJ Regional Holdings, Inc. Registration Statement on Form S-3 Registration No. 333-220944 Ladies and Gentlemen: On behalf of
October 26, 2017	SC 13D	ALJJ / ALJ Regional Holdings, Inc. / Ravich Jess M - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 ALJ REGIONAL HOLDINGS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 001627108 (CUSIP Number) Jess M. Ravich c/o ALJ Regional Holdings, Inc. 244 Madison Avenue, PMB #358 New York, NY 10016 Telephone: (212) 883-0083 (Name, Address and Telephone Number of
October 13, 2017	S-3	ALJ Regional Holdings FORM S-3 aljj-8k20171013.htm As filed with the Securities and Exchange Commission on October 13, 2017 Registration No. 333? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S?3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ALJ REGIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 7389 13-4082185 (State or other jurisdiction of incorpor
October 2, 2017	EX-10.1	Third Amendment to Financing Agreement, dated as of October 2, 2017, by and among the Company, Faneuil, Inc., Floors-N-More, LLC, Phoenix Color Corp., each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, Cerberus Business Finance, LLC, as collateral agent for the lenders, and PNC Bank, National Association, as administrative agent for the lenders aljj-ex10112.htm Exhibit 10.1 THIRD AMENDMENT TO FINANCING AGREEMENT THIRD AMENDMENT, dated as of October 2, 2017 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil,
October 2, 2017	EX-10.3	Registration Rights Agreement, dated as of October 2, 2017, by and between ALJ Regional Holdings, Inc. and General Management Holdings LLC aljj-ex10310.htm Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement, dated as of October 2, 2017, is by and between ALJ Regional Holdings, Inc., a Delaware corporation (the ?Corporation?), and General Management Holdings LLC (?Purchaser?). WHEREAS, pursuant to that certain Common Stock Purchase Agreement, dated as of September 20, 2017 (the ?Stock Purchase Agreement?), b
October 2, 2017	EX-99.1	Phoenix Color Corp. aljj-ex9919.htm Exhibit 99.1 JOINT PRESS RELEASE Phoenix Color Corp. ALJ Regional Holdings, Inc. Hagerstown, Maryland New York, NY PHOENIX COLOR CORP. Closes Acquisition of MOORE-LANGEN PRINTING COMPANY FROM LSC COMMUNICATIONS, INC. HAGERSTOWN, MD and NEW YORK, NY, October 2, 2017 ? Phoenix Color Corp. (?Phoenix?), a wholly-owned subsidiary of ALJ Regional Holdings, Inc. (Nasdaq: ALJJ) (?ALJ?), an
October 2, 2017	EX-10.2	Registration Rights Agreement, dated as of October 2, 2017, by and between ALJ Regional Holdings, Inc. and US Bank FBO Cove Street Capital Small Cap Value Fund aljj-ex10211.htm Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement, dated as of October 2, 2017, is by and between ALJ Regional Holdings, Inc., a Delaware corporation (the ?Corporation?), and US Bank FBO Cove Street Capital Small Cap Value Fund (?Purchaser?). WHEREAS, pursuant to that certain Common Stock Purchase Agreement, dated as of September 20, 2017 (the ?Stock Pu
October 2, 2017	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement aljj-8k20171002.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of In
September 21, 2017	EX-99.1	Phoenix Color Corp. aljj-ex9916.htm Exhibit 99.1 JOINT PRESS RELEASE Phoenix Color Corp. ALJ Regional Holdings, Inc. Hagerstown, Maryland New York, NY PHOENIX COLOR CORP. ACQUIRES MOORE-LANGEN PRINTING COMPANY FROM LSC COMMUNICATIONS, INC. HAGERSTOWN, MD, September 21, 2017 ? Phoenix Color Corp. (?Phoenix?), a wholly-owned subsidiary of ALJ Regional Holdings, Inc. (Nasdaq: ALJJ) (?ALJ?), announced today that it has e
September 21, 2017	EX-2.1	Asset Purchase Agreement, dated as of September 20, 2017, by and among Phoenix Color Corp., LSC Communications, Inc. and Moore-Langen Printing Company, Inc. aljj-ex217.htm Exhibit 2.1 ASSET PURCHASE AGREEMENT by and among Moore-Langen Printing Company, Inc., LSC COMMUNICATIONS, INC. AND Phoenix color corp. September 20, 2017 ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT, dated September 20, 2017, is by and among Phoenix Color Corp., a Delaware corporation (?Buyer?), LSC Communications, Inc., a Delaware corporation (?Parent?) and Moore-Langen
September 21, 2017	8-K	Regulation FD Disclosure aljj-8k20170920.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 20, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of
August 14, 2017	EX-99.1	1 aljj-ex9916.htm Exhibit 99.1 ALJ Regional Holdings, Inc. Appoints Brian Hartman as New Chief Financial Officer and Enters into Long-Term Extension with Faneuil President and CEO, Anna Van Buren NEW YORK, August 14, 2017 /PRNewswire/ - ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) today announced that it appointed Brian Hartman as its new Chief Financial Officer, responsible for overseeing all
August 14, 2017	EX-10.2	First Amendment to Employment Agreement, dated August 11, 2017, by and between Faneuil, Inc. and Anna Van Buren aljj-ex1028.htm Exhibit 10.2 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (this ?Amendment?) is made and entered into effective as of August 11, 2017, by and between Faneuil, Inc., a Delaware corporation (the ?Company?) and Anna Van Buren (the ?Executive?). WHEREAS, the Executive and the Company previously entered into that certain Employment Agreement (the
August 14, 2017	EX-10.1	Employment Agreement, dated August 8, 2017, by and between ALJ Regional Holdings, Inc. and Brian Hartman aljj-ex1017.htm Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?), dated as of August 8, 2017, is entered into by and between Brian Hartman (the ?Executive?) and ALJ Regional Holdings, Inc. (the ?Company?). RECITALS THE PARTIES ENTER THIS AGREEMENT on the basis of the following facts, understandings and intentions: A.The Company desires that the Executive be employed b
August 14, 2017	8-K	Regulation FD Disclosure, Submission of Matters to a Vote of Security Holders aljj-8k20170807.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Inc
August 14, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2017 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
August 14, 2017	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2017 aljj-ex9916.htm EXHIBIT 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2017 NEW YORK, NY, August 14, 2017 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for its third quarter ended June 30, 2017. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (including the customer management outsourcing bus
August 14, 2017	8-K	ALJ Regional Holdings 8-K (Current Report/Significant Event) aljj-8k20170814.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of In
July 27, 2017	CORRESP	ALJ Regional Holdings ESP aljj-corresp.htm 1460 El Camino Real \| 2nd floor \| Menlo Park \| CA \| 94025-4110 WWW.SHEARMAN.COM \| T +1.650.838.3600 \| F +1.650.838.3699 July 27, 2017 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: ALJ Regional Holdings, Inc. Registration Statement on Form S-3 Registration No. 333-219359 Ladies and Gentlemen: On behalf of AL
July 19, 2017	S-3	ALJ Regional Holdings S-3 aljj-8k20170714.htm As filed with the Securities and Exchange Commission on July 19, 2017 Registration No. 333? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S?3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ALJ REGIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 7389 13-4082185 (State or other jurisdiction of incorporati
June 27, 2017	DEFA14A	ALJ Regional Holdings DEFA14A aljj-defa14a20170627.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted
June 27, 2017	DEF 14A	ALJ Regional Holdings DEF 14A aljj-def14a20170811.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ( X ) Filed by a Party other than the Registrant ( ) Check the appropriate box: ( )Preliminary Proxy Statement ( )Confidential, for Use of the Commission Only (as permitted b
May 30, 2017	EX-10.2	REGISTRATION RIGHTS AGREEMENT aljj-ex1028.htm Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT, dated as of May 26, 2017, is by and between ALJ Regional Holdings, a Delaware corporation (the ?Parent?) and Vertex Business Services LLC, a Delaware limited liability company (?Seller?). WHEREAS, pursuant to that certain Asset Purchase Agreement, dated as of May 15, 2017 (the ?Asset Purchase Agreement?)
May 30, 2017	EX-10.1	Second Amendment to Financing Agreement, dated as of May 26, 2017, by and among the Company, Faneuil, Inc., Floors-N-More, LLC, Phoenix Color Corp., each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, Cerberus Business Finance, LLC, as collateral agent for the lenders, and PNC Bank, National Association, as administrative agent for the lenders aljj-ex1017.htm Exhibit 10.1 SECOND AMENDMENT TO FINANCING AGREEMENT SECOND AMENDMENT, dated as of May 26, 2017 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, In
May 30, 2017	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement aljj-8k20170526.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incor
May 30, 2017	EX-99.1	Faneuil, Inc. aljj-ex9916.htm Exhibit 99.1 JOINT PRESS RELEASE Faneuil, Inc. ALJ Regional Holdings, Inc. Hampton, VA New York, NY ALJ REGIONAL HOLDINGS, INC. ANNOUNCES FANEUIL’S CLOSING OF THE ACQUISITION OF THE BPO AND CONTACT CENTER OPERATIONS FROM VERTEX BUSINESS SERVICES LLC NEW YORK, NY and HAMPTON, VA, May 26, 2017 – Faneuil, Inc., a wholly owned subsidiary of ALJ Regional Holdings, Inc. (Nasdaq: ALJJ), t
May 16, 2017	EX-99.1	Faneuil, Inc. aljj-ex9916.htm Exhibit 99.1 JOINT PRESS RELEASE Faneuil, Inc. ALJ Regional Holdings, Inc. Hampton, VA New York, NY ALJ REGIONAL HOLDINGS, INC. ANNOUNCES FANEUIL?S ACQUISITION OF BPO AND CONTACT CENTER OPERATIONS FROM VERTEX BUSINESS SERVICES, LLC NEW YORK, NY and HAMPTON, VA, May 16, 2017 ? Faneuil, Inc. (?Faneuil?), a leading national provider of multichannel customer care and other business pro
May 16, 2017	8-K	Regulation FD Disclosure aljj-8k20170515.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incor
May 16, 2017	EX-2.1	ASSET PURCHASE AGREEMENT by and among VERTEX BUSINESS SERVICES LLC, Faneuil, Inc. ALJ REGIONAL HOLDINGS, INC. May 15, 2017 ASSET PURCHASE AGREEMENT aljj-ex217.htm Exhibit 2.1 ASSET PURCHASE AGREEMENT by and among VERTEX BUSINESS SERVICES LLC, Faneuil, Inc. AND ALJ REGIONAL HOLDINGS, INC. May 15, 2017 ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT, dated May 15, 2017, is by and among Faneuil, Inc., a Delaware corporation (“Buyer”), Vertex Business Services LLC, a Delaware limited liability company (“Seller”) and solely for purposes of
May 15, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition aljj-8k20170512.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2017 ALJ Regional Holdings, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incor
May 15, 2017	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2017 aljj-ex99169.htm Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2017 NEW YORK, NY, May 12, 2017 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its second quarter ended March 31, 2017. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, dba Carpets N'
May 12, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2017 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
February 14, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition aljj-8k20170213.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2017 ALJ Regional Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37689 13-4082185 (State or other jurisdiction of
February 14, 2017	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2016 aljj-ex9916.htm Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE FIRST QUARTER ENDED DECEMBER 31, 2016 NEW YORK, NY, February 13, 2017 – ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (“ALJ”) announced results today for its first quarter ended December 31, 2016. ALJ is a holding company, whose primary assets are its subsidiaries Faneuil, Inc. (“Faneuil”), Floors-N-More, LLC, dba Car
February 13, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2016 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIO
December 23, 2016	EX-21.1	LIST OF SUBSIDIARIES Exhibit 21.1 LIST OF SUBSIDIARIES Name State of Organization or Incorporation Faneuil, Inc. Delaware Floors-N-More, LLC (d/b/a Carpets N? More) Nevada Phoenix Color Corp Delaware 1
December 23, 2016	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-37689 ALJ REGIONAL H
December 23, 2016	EX-14.1	Code of Business Conduct and Ethics EXHIBIT 14.1 ALJ REGIONAL HOLDINGS, INC. CODE OF BUSINESS CONDUCT AND ETHICS (as adopted by the Audit Committee of the Board of Directors on December 17, 2015) I. PURPOSE AND INTENT It is the policy of ALJ Regional Holdings, Inc. and its subsidiaries (collectively, the ?Company?) to conduct their affairs in accordance with all applicable laws, rules and regulations of the jurisdictions in which th
August 23, 2016	EX-10.1	ALJ Regional Holdings, Inc. 2016 Omnibus Equity Plan aljj-ex1019.htm Exhibit 10.1 ALJ REGIONAL HOLDINGS, INC. 2016 OMNIBUS EQUITY PLAN 1.Purposes of the Plan The purposes of the ALJ Regional Holdings, Inc. 2016 Omnibus Equity Plan (the “Plan”) are to promote the long‑term success of ALJ Regional Holdings, Inc., a Delaware corporation (the “Company”), and its Affiliates and to increase shareholder value by providing Eligible Individuals with incentiv
August 23, 2016	EX-99.1	ALJ REGIONAL HOLDINGS, INC. NOTICE OF STOCK OPTION AWARD aljj-ex991_8.htm Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. NOTICE OF STOCK OPTION AWARD Grantee’s Name and Address: [NAME] [ADDRESS] You (the “Grantee”) have been granted an option to purchase shares of Common Stock, subject to the terms and conditions of this Notice of Stock Option Award (the “Notice”) and the Stock Option Award Agreement (the “Option Agreement”) attached hereto. Unless otherwise
August 23, 2016	S-8	ALJ Regional Holdings S-8 aljj-s820160822.htm As filed with the Securities and Exchange Commission on August 22, 2016. Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under THE SECURITIES ACT OF 1933 ALJ REGIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 13-4082185 (State or other jurisdiction of inc
August 15, 2016	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37689 ALJ REGIONAL
August 13, 2016	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition aljj-8k20160812.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2016 ALJ Regional Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37689 13-4082185 (State or other jurisdiction of in
August 13, 2016	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2016 aljj-ex9916.htm Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE THIRD QUARTER ENDED JUNE 30, 2016 NEW YORK, NY, August 12, 2016 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for our third quarter ended June 30, 2016. ALJ is a holding Company, whose primary assets include 100% interest in Faneuil, Inc. (?Faneuil?), Floors-N-More, LLC, dba Carpets N
July 20, 2016	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement aljj-8k20160718.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2016 ALJ Regional Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Inco
July 20, 2016	EX-10.1	First Amendment to Financing Agreement, dated as of July 18, 2016, by and among the Company, Faneuil, Inc., Floors-N-More, LLC, Phoenix Color Corp., each subsidiary of the Company listed as a “Guarantor” on the signature pages thereto, the lenders from time to time party thereto, Cerberus Business Finance, LLC, as collateral agent for the lenders, and PNC Bank, National Association, as administrative agent for the lenders aljj-ex10122.htm Exhibit 10.1 FIRST AMENDMENT TO FINANCING AGREEMENT FIRST AMENDMENT, dated as of July 18, 2016 (this "Amendment"), to the Financing Agreement, dated as of August 14, 2015, as amended, restated, supplemented or otherwise modified from time to time (as so amended, the "Financing Agreement"), by and among ALJ Regional Holdings, Inc., a Delaware corporation (the "Parent"), Faneuil, In
July 20, 2016	EX-99.1	Phoenix Color Corp. Closes Color Optics Acquisition aljj-ex9916.htm Exhibit 99.1 Phoenix Color Corp. Closes Color Optics Acquisition New York, New York and Hagerstown, Maryland, July 18, 2016 - Phoenix Color Corp. (?Phoenix Color?), a wholly owned subsidiary of ALJ Regional Holdings Inc. (Nasdaq: ALJJ) (?ALJ?), today announced the closing of the acquisition of the Color Optics packaging business which it acquired from AKI, Inc., which does business
July 13, 2016	8-K	Submission of Matters to a Vote of Security Holders aljj-8k20160711.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2016 ALJ Regional Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Inco
June 22, 2016	EX-99.1	Phoenix Color Corp. Acquires Color Optics EX-99.1 Exhibit 99.1 Phoenix Color Corp. Acquires Color Optics NEW YORK, NEW YORK and HAGERSTOWN, MARYLAND, June 22, 2016 - Phoenix Color Corp. (?Phoenix Color?), a wholly owned subsidiary of ALJ Regional Holdings Inc. (Nasdaq: ALJJ) (?ALJ?), announced today that they have entered into an asset purchase agreement to acquire the Color Optics packaging business from AKI, Inc., which does business un
June 22, 2016	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2016 ALJ Regional Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37689 13-4082185 (State or Other Jurisdiction of Incorporation)
June 22, 2016	EX-2.1	Asset Purchase Agreement, dated as of June 21, 2016, by and among Phoenix Color Corp., AKI, Inc. and Bioplan USA, Inc. EX-2.1 Exhibit 2.1 ASSET PURCHASE AGREEMENT BY AND AMONG AKI, Inc. (?Arcade?), Bioplan USA, Inc. (solely as to Sections 3.1, 3.2, 3.4, 3.5, 3.7, 5.9, 5.10, 6 and 9) (?Bioplan?) AND Phoenix Color Corp. (?Buyer?) June 21, 2016 ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this ?Agreement?) is entered into this 21st day of June, 2016, by and among AKI, Inc., a Delaware corporation which doe
May 31, 2016	DEFA14A	ALJ Regional Holdings DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? De
May 31, 2016	DEF 14A	ALJ Regional Holdings DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x De
May 17, 2016	EX-99.1	ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2016 EX-99.1 Exhibit 99.1 ALJ REGIONAL HOLDINGS, INC. ANNOUNCES EARNINGS FOR THE SECOND QUARTER ENDED MARCH 31, 2016 NEW YORK, NY, May 16, 2016 ? ALJ Regional Holdings, Inc. (NASDAQ: ALJJ) (?ALJ?) announced results today for our second quarter ended March 31, 2016. ALJ acquired Faneuil, Inc. (?Faneuil?) in October 2013, Floors-N-More, LLC, dba Carpets N? More (?Carpets?) in April 2014 and Phoenix Color
May 17, 2016	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2016 ALJ Regional Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37689 13-4082185 (State or other jurisdiction of incorporation) (
May 16, 2016	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 9, 2016	CORRESP	ALJ Regional Holdings ESP CORRESP ALJ REGIONAL HOLDINGS, INC. 244 Madison Avenue, PMB #358 New York, NY 10016 May 9, 2016 VIA EDGAR Katherine Wray, Attorney-Advisor Bernard Nolan, Attorney-Advisor Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: ALJ Regional Holdings, Inc. Form 10-12B Filed February 2, 2016 File No. 001-37689 Dear Ms. Wray and Mr. Nolan, Referen
April 22, 2016	EX-10.7	STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION STANDARD WRITTEN AGREEMENT Agreement No.: BE074 Financial Project I.D.: Various F.E.I.D. No.: F043253864001 Appropriation Bill Number(s)/Line Item Number(s) for 1st year of contract, pursuant to 216.313, Exhibit 10.7 THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT REQUEST. REDACTED MATERIAL IS MARKED WITH [***] AND HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION. 375-040-19 PROCUREMENT - 08/14 Page 1 of 7 STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION STANDARD WRITTEN AGREEMENT Agreement No.: BE074 Financial Project I.D.: Various F.E.I.D. No.: F04
April 22, 2016	EX-10.8	EMPLOYMENT AGREEMENT Exhibit 10.8 EXECUTION VERSION EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?), dated as of April 14, 2014, is entered into by and between Floors-N-More, LLC, a Nevada limited liability company (the ?Company?) and Steven Chesin (the ?Executive?). WHEREAS, ALJ Regional Holdings, Inc. is acquiring the outstanding equity interest of Floors-N-More, LLC from Maple CNM Holdings, LLC (t
April 22, 2016	10-12B/A	As filed with the Securities and Exchange Commission on April 21, 2016 10-12B/A Table of Contents As filed with the Securities and Exchange Commission on April 21, 2016 File No.
April 21, 2016	CORRESP	ALJ Regional Holdings ESP CORRESP 1460 EL CAMINO REAL \| 2ND FLOOR \| MENLO PARK \| CA \| 94025-4110 WWW.SHEARMAN.COM \| T +1.650.838.3600 \| F +1.650.838.3699 April 21, 2016 VIA EDGAR CONFIDENTIAL Katherine Wray, Attorney-Advisor Bernard Nolan, Attorney-Advisor Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: ALJ Regional Holdings, Inc. Form 10-12B Filed February 2,
March 28, 2016	EX-10.1	FINANCING AGREEMENT Dated as of August 14, 2015 by and among ALJ REGIONAL HOLDINGS, INC., FANEUIL, INC., FLOORS-N-MORE, LLC AND PHOENIX COLOR CORP., as Borrowers, EACH SUBSIDIARY OF ALJ REGIONAL HOLDINGS, INC. LISTED AS A GUARANTOR ON THE SIGNATURE P Exhibit 10.1 FINANCING AGREEMENT Dated as of August 14, 2015 by and among ALJ REGIONAL HOLDINGS, INC., FANEUIL, INC., FLOORS-N-MORE, LLC AND PHOENIX COLOR CORP., as Borrowers, EACH SUBSIDIARY OF ALJ REGIONAL HOLDINGS, INC. LISTED AS A GUARANTOR ON THE SIGNATURE PAGES HERETO, as Guarantors, THE LENDERS FROM TIME TO TIME PARTY HERETO, as Lenders, CERBERUS BUSINESS FINANCE, LLC, as Collateral Agent,
March 28, 2016	EX-21.1	SUBSIDIARIES OF THE REGISTRANT Name State of Organization or Incorporation Faneuil, Inc. Delaware Floors-N-More, LLC (d/b/a Carpets N’ More) Nevada Phoenix Color Corp. Delaware Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name State of Organization or Incorporation Faneuil, Inc. Delaware Floors-N-More, LLC (d/b/a Carpets N? More) Nevada Phoenix Color Corp. Delaware 1

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