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