0001019687-14-002223.txt : 20140530 0001019687-14-002223.hdr.sgml : 20140530 20140530171548 ACCESSION NUMBER: 0001019687-14-002223 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140528 FILED AS OF DATE: 20140530 DATE AS OF CHANGE: 20140530 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 Paul CENTRAL INDEX KEY: 0001397931 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 14881307 MAIL ADDRESS: STREET 1: C/O TOWERSTREAM CORPORATION STREET 2: 55 HAMMARLUND WAY CITY: MIDDLETOWN STATE: RI ZIP: 02842 4 1 paul_koeher-f4.xml OWNERSHIP DOCUMENT X0306 4 2014-05-28 0 0000778164 Pacific Ethanol, Inc. PEIX 0001397931 Koehler Paul 400 CAPITOL MALL, SUITE 2060 SACRAMENTO CA 95814 0 1 0 0 VP of Corporate Development Common Stock 2014-05-28 4 A 0 864 0.00 A 30235 D On May 23, 2014, 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 $12.16 per share, which was the closing price per share of Pacific Ethanol's common stock on The NASDAQ Capital Market on May 21, 2014, the day immediately preceding the commencement of the offering. On May 28, 2014, the transaction closed and Pacific Ethanol, Inc. issued, and Mr. Koehler acquired, 864 shares of common stock of Pacific Ethanol, Inc. in satisfaction of $10,500 in accrued and unpaid dividends on the Preferred Stock. /s/ Paul Koehler 2014-05-28