0001012975-17-000193.txt : 20170303
0001012975-17-000193.hdr.sgml : 20170303
20170303171122
ACCESSION NUMBER: 0001012975-17-000193
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170301
FILED AS OF DATE: 20170303
DATE AS OF CHANGE: 20170303
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 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: 17665106
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
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: 17665107
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: 17665108
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: 17665109
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-03-01
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
2017-03-01
4
J
0
2007792
D
58784
I
See Footnote
Common Stock
2017-03-01
4
J
0
118935
D
0
I
See Footnote
Common Stock
2017-03-01
4
J
0
29734
D
0
I
See Footnote
Common Stock
3987194
I
See Footnote
Common Stock
900177
I
See Footnote
Common Stock
77292
I
See Footnote
Non-Voting Common Stock
2017-03-01
4
J
0
1312160
D
Common Stock
1312160
38417
I
See Footnote
Non-Voting Common Stock
2017-03-01
4
J
0
115376
D
Common Stock
115376
0
I
See Footnote
Non-Voting Common Stock
2017-03-01
4
J
0
28844
D
Common Stock
28844
0
I
See Footnote
Non-Voting Common Stock
Common Stock
1797147
1797147
I
See Footnote
Non-Voting Common Stock
Common Stock
201226
201226
I
See Footnote
Non-Voting Common Stock
Common Stock
46298
46298
I
See Footnote
On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution.
The securities are directly held by a private investment fund for which (i) 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 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 securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). The Investment Manager serves as the investment manager to the Special Situations Fund, and the Fund GP serves as the general partner of the Special Situations Fund. 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 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.
Candlewood Investment Group, LP, By: /s/ Janet Miller, its Chief Operating Officer and General Counsel
2017-03-03
Candlewood Special Situations General, LLC, By: /s/ Michael Lau, its Class A Member
2017-03-03
Candlewood Investment Group General, LLC, By: /s/ Michael Lau, its Manager
2017-03-03
Candlewood Special Situations Master Fund, Ltd., By: /s/ David Koenig, its Portfolio Manager
2017-03-03