0001012975-15-000544.txt : 20150715
0001012975-15-000544.hdr.sgml : 20150715
20150715174737
ACCESSION NUMBER: 0001012975-15-000544
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150701
FILED AS OF DATE: 20150715
DATE AS OF CHANGE: 20150715
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Pacific Ethanol, Inc.
CENTRAL INDEX KEY: 0000778164
STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860]
IRS NUMBER: 412170618
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 400 CAPITOL MALL, SUITE 2060
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
BUSINESS PHONE: 916-403-2123
MAIL ADDRESS:
STREET 1: 400 CAPITOL MALL, SUITE 2060
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
FORMER COMPANY:
FORMER CONFORMED NAME: ACCESSITY CORP
DATE OF NAME CHANGE: 20030627
FORMER COMPANY:
FORMER CONFORMED NAME: DRIVERSSHIELD COM CORP
DATE OF NAME CHANGE: 20001115
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST PRIORITY GROUP INC
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Candlewood Investment Group, LP
CENTRAL INDEX KEY: 0001531741
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21467
FILM NUMBER: 15990070
BUSINESS ADDRESS:
STREET 1: 555 THEODORE FREMD AVE
STREET 2: SUITE C-303
CITY: RYE
STATE: NY
ZIP: 10580
BUSINESS PHONE: 212-493-4495
MAIL ADDRESS:
STREET 1: 555 THEODORE FREMD AVE
STREET 2: SUITE C-303
CITY: RYE
STATE: NY
ZIP: 10580
3/A
1
primary_doc.xml
PRIMARY DOCUMENT
X0206
3/A
2015-07-01
2015-07-13
0
0000778164
Pacific Ethanol, Inc.
PEIX
0001531741
Candlewood Investment Group, LP
555 THEODORE FREMD AVE
SUITE C-303
RYE
NY
10580
0
0
1
0
Non-Voting Common Stock
Common Stock
3539284.4
I
See footnote
The Non-Voting Common Stock were omitted from the Reporting Person's original Form 3.
The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the Reporting Person cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The Reporting Person's current beneficial ownership of the Common Stock exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. At any time when a share of Non-Voting Common Stock is not owned by the Reporting Person or another Initial Holder (as defined below) or their respective affiliates, such share of Non-Voting Common Stock shall automatically convert into one share of Common Stock. "Initial Holder" means any person who received shares of Non-Voting Common Stock at the time of the closing of the merger between Pacific Ethanol, Inc. and Aventine Renewable Energy Holdings, Inc. The right to convert Non-Voting Common Stock into Common Stock does not expire.
The Non-Voting Common Stock are held by investment funds for which Candlewood Investment Group, LP serves as the investment manager. Candlewood Investment Group, LP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.
Candlewood Investment Group, LP, By: Janet Miller, its Chief Operating Officer and General Counsel
2015-07-15