0001019687-13-003613.txt : 20130917 0001019687-13-003613.hdr.sgml : 20130917 20130917163337 ACCESSION NUMBER: 0001019687-13-003613 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130917 FILED AS OF DATE: 20130917 DATE AS OF CHANGE: 20130917 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: KOEHLER NEIL M CENTRAL INDEX KEY: 0001320697 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 131101628 MAIL ADDRESS: STREET 1: PACIFIC ETHANOL, INC. STREET 2: 5711 N. WEST AVENUE CITY: FRESNO STATE: CA ZIP: 93711 4 1 koehler_frm4-091713.xml FORM 4 X0306 4 2013-09-17 0 0000778164 Pacific Ethanol, Inc. PEIX 0001320697 KOEHLER NEIL M 400 CAPITOL MALL #2060 SACRAMENTO CA 95814 1 1 0 0 President & CEO Common Stock 2013-09-17 4 A 0 28247 0.00 A 303576 D On September 13, 2013, Mr. Koehler and the other holders of Series B Cumulative Convertible Preferred Stock ("Preferred Stock") of Pacific Ethanol, Inc. entered into an agreement with Pacific Ethanol, Inc. to, among other things, settle an outstanding obligation through payment in shares of common stock of Pacific Ethanol, Inc. of a portion of the accrued and unpaid dividends on the Preferred Stock. The negotiated price of the common stock to be issued to Mr. Koehler and the other holders of the Preferred Stock was approximately $3.72 per share. On September 13, 2013, the last reported sales price of Pacific Ethanol's common stock on The NASDAQ Capital Market was $3.68 per share. On September 17, 2013, the transaction closed and Pacific Ethanol, Inc. issued, and Mr. Koehler acquired, 28,247 shares of common stock of Pacific Ethanol, Inc. in satisfaction of $105,000 in accrued and unpaid dividends on the Preferred Stock. /s/ Neil M. Koehler 2013-09-17