-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AAgFFSo3o8T6cCu40YDby4SiVNK7XjiDNjHbhQHASjCB2nH8Mo+EmMC7QbG3Gma+ zDkDDg3USns88x+fgspmbA== 0001052192-08-000020.txt : 20080505 0001052192-08-000020.hdr.sgml : 20080505 20080505171125 ACCESSION NUMBER: 0001052192-08-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080501 FILED AS OF DATE: 20080505 DATE AS OF CHANGE: 20080505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GATES WILLIAM H III CENTRAL INDEX KEY: 0000902012 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 08803573 BUSINESS ADDRESS: BUSINESS PHONE: 4258828080 MAIL ADDRESS: STREET 1: ONE MICROSOFT WAY CITY: REDMOND STATE: WA ZIP: 98052 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: CASCADE INVESTMENT LLC CENTRAL INDEX KEY: 0001052192 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21467 FILM NUMBER: 08803574 BUSINESS ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 BUSINESS PHONE: 4258030720 MAIL ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2008-05-01 0000778164 Pacific Ethanol, Inc. PEIX 0001052192 CASCADE INVESTMENT LLC 2365 CARILLON POINT KIRKLAND WA 98033 0 0 1 0 0000902012 GATES WILLIAM H III ONE MICROSOFT WAY REDMOND WA 98052 0 0 1 0 Common Stock 2008-05-01 4 C 0 2000000 8.00 A 2202524 D Common Stock 2008-05-01 4 S 0 700 3.4400 D 2201824 D Common Stock 2008-05-01 4 S 0 100 3.4100 D 2201724 D Common Stock 2008-05-01 4 S 0 200 3.4000 D 2201524 D Common Stock 2008-05-01 4 S 0 300 3.3900 D 2201224 D Common Stock 2008-05-01 4 S 0 400 3.3800 D 2200824 D Common Stock 2008-05-01 4 S 0 300 3.3700 D 2200524 D Common Stock 2008-05-01 4 S 0 2400 3.3600 D 2198124 D Common Stock 2008-05-01 4 S 0 200 3.3500 D 2197924 D Common Stock 2008-05-01 4 S 0 1700 3.3400 D 2196224 D Common Stock 2008-05-01 4 S 0 7202 3.3300 D 2189022 D Common Stock 2008-05-01 4 S 0 500 3.3250 D 2188522 D Common Stock 2008-05-01 4 S 0 798 3.3200 D 2187724 D Common Stock 2008-05-01 4 S 0 104 3.3150 D 2187620 D Common Stock 2008-05-01 4 S 0 13060 3.3100 D 2174560 D Common Stock 2008-05-01 4 S 0 200 3.3050 D 2174360 D Common Stock 2008-05-01 4 S 0 23901 3.3000 D 2150459 D Common Stock 2008-05-01 4 S 0 400 3.2950 D 2150059 D Common Stock 2008-05-01 4 S 0 31867 3.2900 D 2118192 D Common Stock 2008-05-01 4 S 0 26008 3.2800 D 2092184 D Common Stock 2008-05-01 4 S 0 15213 3.2700 D 2076971 D Common Stock 2008-05-01 4 S 0 700 3.2600 D 2076271 D Common Stock 2008-05-01 4 S 0 100 3.2550 D 2076171 D Common Stock 2008-05-01 4 S 0 6000 3.2500 D 2070171 D Common Stock 2008-05-01 4 S 0 100 3.2450 D 2070071 D Common Stock 2008-05-01 4 S 0 3647 3.2400 D 2066424 D Common Stock 2008-05-01 4 S 0 1100 3.2300 D 2065324 D Common Stock 2008-05-01 4 S 0 100 3.2250 D 2065224 D Common Stock 2008-05-01 4 S 0 1700 3.2200 D 2063524 D Common Stock 2008-05-01 4 S 0 6600 3.2100 D 2056924 D Series A Cumulative Redeemable Convertible Preferred Stock 8.00 2008-05-01 4 C 0 1000000 D Common Stock 2000000 3750000 D Each Series A Cumulative Redeemable Convertible Preferred Stock ("Series A Preferred Stock") is convertible into two shares of Pacific Ethanol, Inc. ("Pacific Ethanol") common stock at a price per share of $8. On May 1, 2008, Cascade Investment, L.L.C. ("Cascade") converted 1,000,000 shares of Series A Preferred Stock at a conversion price of $8 a share, resulting in the issuance to Cascade of 2,000,000 shares of Pacific Ethanol common stock. The Series A Preferred Stock is convertible at any time at Cascade's option and has no expiration date. * Duly authorized under Special Power of Attorney appointing Michael Larson attorney-in-fact, dated February 3, 2006, by and on behalf of William H. Gates III, filed as Exhibit 99.1 to Cascade Investment, L.L.C.'s Amendment No. 2 to Schedule 13G with respect to Arch Capital Group Ltd. on March 7, 2006, SEC File No. 005-45257, and incorporated by reference herein. Cascade Investment, L.L.C. By: /s/ Michael Larson, Business Manager 2008-05-05 William H. Gates III By: /s/ Michael Larson*, Attorney-In-Fact 2008-05-05 -----END PRIVACY-ENHANCED MESSAGE-----