0001012975-16-000915.txt : 20160114 0001012975-16-000915.hdr.sgml : 20160114 20160114180016 ACCESSION NUMBER: 0001012975-16-000915 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150701 FILED AS OF DATE: 20160114 DATE AS OF CHANGE: 20160114 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 General, LLC CENTRAL INDEX KEY: 0001663660 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 161343734 BUSINESS ADDRESS: STREET 1: 555 THEODORE FREMD AVE. SUITE C-303 CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 212-493-4495 MAIL ADDRESS: STREET 1: 555 THEODORE FREMD AVE. SUITE C-303 CITY: RYE STATE: NY ZIP: 10580 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Candlewood Special Situations General, LLC CENTRAL INDEX KEY: 0001663659 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 161343735 BUSINESS ADDRESS: STREET 1: 555 THEODORE FREMD AVE., SUITE C-303 CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 212-493-4495 MAIL ADDRESS: STREET 1: 555 THEODORE FREMD AVE., SUITE C-303 CITY: RYE STATE: NY ZIP: 10580 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: 161343736 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 edgar.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 0001663659 Candlewood Special Situations General, LLC 555 THEODORE FREMD AVE., SUITE C-303 RYE NY 10580 0 0 1 0 0001663660 Candlewood Investment Group General, LLC 555 THEODORE FREMD AVE., SUITE C-303 RYE NY 10580 0 0 1 0 Common Stock 2992187 I See footnote Common Stock 3126184 I See footnote Common Stock 519361 I See footnote Common Stock 77293 I See footnote Common Stock 48153 I See footnote Common Stock 192612 I See footnote Non-Voting Common Stock Common Stock 1796071 I See footnote Non-Voting Common Stock Common Stock 1352316 I See footnote Non-Voting Common Stock Common Stock 201226 I See footnote Non-Voting Common Stock Common Stock 46298 I See footnote Non-Voting Common Stock Common Stock 28845 I See footnote Non-Voting Common Stock Common Stock 115376 I See footnote This amendment is being filed to correct the number of shares of Common Stock and Non-Voting Common Stock reported as beneficially owned. The securities are directly held by private investment funds for which (i) Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager and (ii) Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Investment Manager, the Fund GP and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest. The securities are directly held by private investment funds for which the Investment Manager controls the investment manager advising such funds. The Manager GP serves as the general partner of the Investment Manager. Each of the Investment Manager and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest. The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder 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 beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. /s/ Candlewood Investment Group, LP, by Janet Miller, its Chief Operating Officer and General Counsel 2016-01-14 /s/ Candlewood Special Situations General, LLC, by Michael Lau, its Class A Member 2016-01-14 /s/ Candlewood Investment Group General, LLC, by Michael Lau, its Manager 2016-01-14