0001012975-17-000203.txt : 20170308
0001012975-17-000203.hdr.sgml : 20170308
20170308161845
ACCESSION NUMBER: 0001012975-17-000203
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: Lau Michael Jung Awn
CENTRAL INDEX KEY: 0001700228
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21467
FILM NUMBER: 17675322
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
0001700228
Lau Michael Jung Awn
C/O CANDLEWOOD INVESTMENT GROUP, LP
555 THEODORE FREMD AVE., SUITE C-303
RYE
NY
10580
0
0
1
0
Common Stock
7284
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
7066
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/ Michael J. Lau
2017-03-08