0001012975-16-001623.txt : 20161214 0001012975-16-001623.hdr.sgml : 20161214 20161214100306 ACCESSION NUMBER: 0001012975-16-001623 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161212 FILED AS OF DATE: 20161214 DATE AS OF CHANGE: 20161214 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 162050419 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 162050420 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 162050421 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Candlewood Special Situations Master Fund, Ltd. CENTRAL INDEX KEY: 0001663661 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 162050422 BUSINESS ADDRESS: STREET 1: 555 THEODORE FREMD AVE., SUITE C-303 CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 2124934495 MAIL ADDRESS: STREET 1: 555 THEODORE FREMD AVE., SUITE C-303 CITY: RYE STATE: NY ZIP: 10580 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-12-12 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 0001663661 Candlewood Special Situations Master Fund, Ltd. 555 THEODORE FREMD AVE SUITE C-303 RYE NY 10580 0 0 1 0 Common Stock 2016-12-12 4 S 0 1737390 9.33 D 4046369 I See Footnote Common Stock 2016-12-12 4 S 0 1026379 9.33 D 2101534 I See Footnote Common Stock 2016-12-12 4 S 0 70585 9.33 D 122029 I See Footnote Common Stock 2016-12-12 4 S 0 17646 9.33 D 30507 I See Footnote Common Stock 2016-12-12 4 S 0 76148 10.3345 D 3970221 I See Footnote Common Stock 2016-12-12 4 S 0 44985 10.3345 D 2056549 I See Footnote Common Stock 2016-12-12 4 S 0 3094 10.3345 D 118935 I See Footnote Common Stock 2016-12-12 4 S 0 773 10.3345 D 29734 I See Footnote Common Stock 900177 I See Footnote Common Stock 77292 I See Footnote The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. The transactions were executed in multiple trades at prices ranging from $10.05 to $10.75. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. Candlewood Investment Group, LP, By: /s/ Janet Miller, its Chief Operating Officer and General Counsel 2016-12-14 Candlewood Special Situations General, LLC, By: /s/ Michael Lau, its Class A Member 2016-12-14 Candlewood Investment Group General, LLC, By: /s/ Michael Lau, its Manager 2016-12-14 Candlewood Special Situations Master Fund, Ltd., By: /s/ David Koenig, its Portfolio Manager 2016-12-14