Filing Details
- Accession Number:
- 0001012975-16-001019
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-02-16 16:05:40
- Reporting Period:
- 2016-02-11
- Filing Date:
- 2016-02-16
- Accepted Time:
- 2016-02-16 16:05:40
- 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 | 2016-02-11 | 23,232 | $2.94 | 5,784,838 | No | 4 | P | Indirect | See footnote |
| Common Stock | Acquisiton | 2016-02-11 | 3,168 | $2.94 | 900,177 | 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 |
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
- This transaction was executed in multiple trades at prices ranging from $2.885 to $2.99. 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.
- 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.
- 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.
Billionaire Hedge Funds
