0001012975-17-000199.txt : 20170308 0001012975-17-000199.hdr.sgml : 20170308 20170308161526 ACCESSION NUMBER: 0001012975-17-000199 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170301 FILED AS OF DATE: 20170308 DATE AS OF CHANGE: 20170308 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: DeSantis Philip Frank CENTRAL INDEX KEY: 0001700055 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 17675260 MAIL ADDRESS: STREET 1: C/O CANDLEWOOD INVESTMENT GROUP, LP STREET 2: 555 THEODORE FREMD AVENUE, SUITE C-303 CITY: RYE STATE: NY ZIP: 10580 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2017-03-01 0 0000778164 Pacific Ethanol, Inc. PEIX 0001700055 DeSantis Philip Frank C/O CANDLEWOOD INVESTMENT GROUP, LP 555 THEODORE FREMD AVE., SUITE C-303 RYE NY 10580 0 0 1 0 Common Stock 4207 D Common Stock 3987194 I See footnote Common Stock 58784 I See footnote Common Stock 900177 I See footnote Common Stock 77292 I See footnote Non-Voting Common Stock Common Stock 4081 D Non-Voting Common Stock Common Stock 1797147 I See footnote Non-Voting Common Stock Common Stock 38417 I See footnote Non-Voting Common Stock Common Stock 201226 I See footnote Non-Voting Common Stock Common Stock 46298 I See footnote The securities are directly held by a private investment fund for which Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager. The Reporting Person is a managing partner of the Investment Manager. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the Reporting Person cannot convert the Non-Voting Common Stock if he and any of his affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the Reporting Person and his affiliates currently exceeds 9.99%, and accordingly, he 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/ Philip F. DeSantis 2017-03-08