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 4 S 0 93724 6.7612 D 3893470 I See Footnote Common Stock 2017-03-15 4 S 0 1382 6.7612 D 57402 I See Footnote Common Stock 2017-03-15 4 S 0 246368 6.70 D 3647102 I See Footnote Common Stock 2017-03-15 4 S 0 3632 6.70 D 53770 I See Footnote Common Stock 2017-03-16 4 S 0 134162 6.7223 D 3512940 I See Footnote Common Stock 2017-03-16 4 S 0 1978 6.7223 D 51792 I See Footnote Common Stock 2017-03-16 4 S 0 246368 6.70 D 3266572 I See Footnote Common Stock 2017-03-16 4 S 0 3632 6.70 D 48160 I See Footnote Common Stock 2017-03-17 4 S 0 87712 6.7351 D 3178860 I See Footnote Common Stock 2017-03-17 4 S 0 1293 6.7351 D 46867 I See Footnote Common Stock 2017-03-17 4 S 0 344915 6.65 D 2833945 I See Footnote Common Stock 2017-03-17 4 S 0 5085 6.65 D 41782 I See Footnote Common Stock 2017-03-17 4 S 0 246368 6.70 D 2587577 I See Footnote Common Stock 2017-03-17 4 S 0 3632 6.70 D 38150 I See Footnote Common Stock 900177 I See Footnote Common Stock 77292 I See Footnote Common Stock 7284 D Common Stock 2742 D Common Stock 4207 D 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