Filing Details

Accession Number:
0001012975-16-000916
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-01-14 18:00:59
Reporting Period:
2016-01-12
Filing Date:
2016-01-14
Accepted Time:
2016-01-14 18:00:59
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
778164 Pacific Ethanol Inc. PEIX Industrial Organic Chemicals (2860) 412170618
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1531741 Candlewood Investment Group, Lp 555 Theodore Fremd Ave., Suite C-303
Rye NY 10580
No No Yes No
1663659 Candlewood Special Situations General, Llc 555 Theodore Fremd Ave., Suite C-303
Rye NY 10580
No No Yes No
1663660 Candlewood Investment Group General, Llc 555 Theodore Fremd Ave., Suite C-303
Rye NY 10580
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-01-12 236,654 $3.10 3,228,841 No 4 P Indirect See footnote
Common Stock Acquisiton 2016-01-12 32,271 $3.10 551,632 No 4 P Indirect See footnote
Common Stock Acquisiton 2016-01-13 425,685 $3.22 3,654,526 No 4 P Indirect See footnote
Common Stock Acquisiton 2016-01-13 58,048 $3.22 609,680 No 4 P Indirect See footnote
Common Stock Acquisiton 2016-01-14 63,260 $3.36 3,717,786 No 4 P Indirect See footnote
Common Stock Acquisiton 2016-01-14 8,626 $3.36 618,306 No 4 P Indirect See footnote
Common Stock Acquisiton 2016-01-14 880,000 $3.55 4,597,786 No 4 P Indirect See footnote
Common Stock Acquisiton 2016-01-14 120,000 $3.55 738,306 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
No 4 P Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,126,184 Indirect See footnote
Common Stock 77,293 Indirect See footnote
Common Stock 48,153 Indirect See footnote
Common Stock 192,612 Indirect See footnote
Footnotes
  1. This transaction was executed in multiple trades at prices ranging from $3.035 to $3.180. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
  2. This transaction was executed in multiple trades at prices ranging from $3.11 to $3.45. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
  3. This transaction was executed in multiple trades at prices ranging from $3.26 to $3.43. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
  4. The securities are directly held by private investment funds for which (i) Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager and (ii) Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Investment Manager, the Fund GP and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.
  5. The securities are directly held by private investment funds for which the Investment Manager controls the investment manager advising such funds. The Manager GP serves as the general partner of the Investment Manager. Each of the Investment Manager and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.