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