0001012975-17-000230.txt : 20170317
0001012975-17-000230.hdr.sgml : 20170317
20170317174307
ACCESSION NUMBER: 0001012975-17-000230
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170315
FILED AS OF DATE: 20170317
DATE AS OF CHANGE: 20170317
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DeSantis Philip Frank
CENTRAL INDEX KEY: 0001700055
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21467
FILM NUMBER: 17699254
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lau Michael Jung Awn
CENTRAL INDEX KEY: 0001700228
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21467
FILM NUMBER: 17699256
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
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: 17699257
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: 17699258
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: 17699259
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: Koenig David Erwin
CENTRAL INDEX KEY: 0001700201
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21467
FILM NUMBER: 17699255
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
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: 17699260
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
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-03-15
1
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
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
0001700201
Koenig David Erwin
C/O CANDLEWOOD INVESTMENT GROUP, LP
555 THEODORE FREMD AVE., SUITE C-303
RYE
NY
10580
0
0
1
0
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
2017-03-15
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Common Stock
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See Footnote
Common Stock
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Common Stock
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Common Stock
2017-03-16
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Common Stock
2017-03-16
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See Footnote
Common Stock
2017-03-16
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See Footnote
Common Stock
2017-03-16
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Common Stock
2017-03-17
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Common Stock
2017-03-17
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Common Stock
2017-03-17
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See Footnote
Common Stock
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See Footnote
Common Stock
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See Footnote
Common Stock
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Common Stock
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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. Messrs. Lau, Koenig and DeSantis are managing partners 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. Messrs. Lau, Koenig and DeSantis are managing partners 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 Michael J. Lau. No other Reporting Person beneficially owns these securities.
The securities are directly held by David E. Koenig. No other Reporting Person beneficially owns these securities.
The securities are directly held by Philip F. DeSantis. No other Reporting Person beneficially owns these securities.
The transactions were executed in multiple trades at prices ranging from $6.70 to $7.05. 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.
The transactions were executed in multiple trades at prices ranging from $6.70 to $6.85. 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.
The transactions were executed in multiple trades at prices ranging from $6.70 to $6.78. 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
2017-03-17
Candlewood Special Situations General, LLC, By: /s/ Michael J. Lau, its Class A Member
2017-03-17
Candlewood Investment Group General, LLC, By: /s/ Michael J. Lau, its Manager
2017-03-17
Candlewood Special Situations Master Fund, Ltd., By: /s/ David E. Koenig, its Portfolio Manager
2017-03-17
/s/ Michael J. Lau
2017-03-17
/s/ David E. Koenig
2017-03-17
/s/ Philip F. DeSantis
2017-03-17