4//SEC Filing
DeSantis Philip Frank 4
Accession 0001012975-17-000230
CIK 0000778164other
Filed
Mar 16, 8:00 PM ET
Accepted
Mar 17, 5:43 PM ET
Size
40.7 KB
Accession
0001012975-17-000230
Insider Transaction Report
Form 4
Transactions
- Sale
Common Stock
2017-03-16$6.70/sh−3,632$24,334→ 48,160 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−344,915$2,293,685→ 2,833,945 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−93,724$633,687→ 3,893,470 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−1,978$13,297→ 51,792 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−87,712$590,749→ 3,178,860 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−1,382$9,344→ 57,402 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−246,368$1,650,666→ 3,647,102 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−5,085$33,815→ 41,782 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−246,368$1,650,666→ 2,587,577 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−134,162$901,877→ 3,512,940 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−246,368$1,650,666→ 3,266,572 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−1,293$8,708→ 46,867 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−3,632$24,334→ 38,150 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−3,632$24,334→ 53,770 total(indirect: See Footnote)
Holdings
- 77,292(indirect: See Footnote)
Common Stock
- 900,177(indirect: See Footnote)
Common Stock
- 7,284
Common Stock
- 4,207
Common Stock
- 2,742
Common Stock
Transactions
- Sale
Common Stock
2017-03-15$6.70/sh−246,368$1,650,666→ 3,647,102 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−246,368$1,650,666→ 3,266,572 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−3,632$24,334→ 48,160 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−87,712$590,749→ 3,178,860 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−93,724$633,687→ 3,893,470 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−3,632$24,334→ 53,770 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−1,978$13,297→ 51,792 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−1,293$8,708→ 46,867 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−344,915$2,293,685→ 2,833,945 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−3,632$24,334→ 38,150 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−1,382$9,344→ 57,402 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−134,162$901,877→ 3,512,940 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−5,085$33,815→ 41,782 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−246,368$1,650,666→ 2,587,577 total(indirect: See Footnote)
Holdings
- 77,292(indirect: See Footnote)
Common Stock
- 4,207
Common Stock
- 900,177(indirect: See Footnote)
Common Stock
- 7,284
Common Stock
- 2,742
Common Stock
DeSantis Philip Frank
10% Owner
Transactions
- Sale
Common Stock
2017-03-15$6.76/sh−93,724$633,687→ 3,893,470 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−246,368$1,650,666→ 2,587,577 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−1,382$9,344→ 57,402 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−134,162$901,877→ 3,512,940 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−3,632$24,334→ 53,770 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−3,632$24,334→ 48,160 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−246,368$1,650,666→ 3,647,102 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−1,978$13,297→ 51,792 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−1,293$8,708→ 46,867 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−5,085$33,815→ 41,782 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−246,368$1,650,666→ 3,266,572 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−87,712$590,749→ 3,178,860 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−344,915$2,293,685→ 2,833,945 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−3,632$24,334→ 38,150 total(indirect: See Footnote)
Holdings
- 77,292(indirect: See Footnote)
Common Stock
- 900,177(indirect: See Footnote)
Common Stock
- 2,742
Common Stock
- 7,284
Common Stock
- 4,207
Common Stock
Candlewood Investment Group, LP
10% Owner
Transactions
- Sale
Common Stock
2017-03-15$6.70/sh−3,632$24,334→ 53,770 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−134,162$901,877→ 3,512,940 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−246,368$1,650,666→ 3,266,572 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−3,632$24,334→ 48,160 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−1,293$8,708→ 46,867 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−5,085$33,815→ 41,782 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−3,632$24,334→ 38,150 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−93,724$633,687→ 3,893,470 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−1,382$9,344→ 57,402 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−246,368$1,650,666→ 3,647,102 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−1,978$13,297→ 51,792 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−87,712$590,749→ 3,178,860 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−344,915$2,293,685→ 2,833,945 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−246,368$1,650,666→ 2,587,577 total(indirect: See Footnote)
Holdings
- 77,292(indirect: See Footnote)
Common Stock
- 4,207
Common Stock
- 900,177(indirect: See Footnote)
Common Stock
- 7,284
Common Stock
- 2,742
Common Stock
Lau Michael Jung Awn
10% Owner
Transactions
- Sale
Common Stock
2017-03-16$6.72/sh−134,162$901,877→ 3,512,940 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−1,978$13,297→ 51,792 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−3,632$24,334→ 53,770 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−246,368$1,650,666→ 3,266,572 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−3,632$24,334→ 48,160 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−5,085$33,815→ 41,782 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−93,724$633,687→ 3,893,470 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−1,382$9,344→ 57,402 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−246,368$1,650,666→ 3,647,102 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−87,712$590,749→ 3,178,860 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−246,368$1,650,666→ 2,587,577 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−1,293$8,708→ 46,867 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−3,632$24,334→ 38,150 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−344,915$2,293,685→ 2,833,945 total(indirect: See Footnote)
Holdings
- 77,292(indirect: See Footnote)
Common Stock
- 4,207
Common Stock
- 900,177(indirect: See Footnote)
Common Stock
- 2,742
Common Stock
- 7,284
Common Stock
Koenig David Erwin
10% Owner
Transactions
- Sale
Common Stock
2017-03-15$6.70/sh−246,368$1,650,666→ 3,647,102 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−5,085$33,815→ 41,782 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−344,915$2,293,685→ 2,833,945 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−3,632$24,334→ 38,150 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−93,724$633,687→ 3,893,470 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−3,632$24,334→ 53,770 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−134,162$901,877→ 3,512,940 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−1,978$13,297→ 51,792 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−246,368$1,650,666→ 2,587,577 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−3,632$24,334→ 48,160 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−87,712$590,749→ 3,178,860 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−1,382$9,344→ 57,402 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−246,368$1,650,666→ 3,266,572 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−1,293$8,708→ 46,867 total(indirect: See Footnote)
Holdings
- 77,292(indirect: See Footnote)
Common Stock
- 7,284
Common Stock
- 2,742
Common Stock
- 900,177(indirect: See Footnote)
Common Stock
- 4,207
Common Stock
Transactions
- Sale
Common Stock
2017-03-15$6.70/sh−3,632$24,334→ 53,770 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−3,632$24,334→ 48,160 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−5,085$33,815→ 41,782 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−93,724$633,687→ 3,893,470 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.70/sh−246,368$1,650,666→ 3,647,102 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−134,162$901,877→ 3,512,940 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−87,712$590,749→ 3,178,860 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.65/sh−344,915$2,293,685→ 2,833,945 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.72/sh−1,978$13,297→ 51,792 total(indirect: See Footnote) - Sale
Common Stock
2017-03-16$6.70/sh−246,368$1,650,666→ 3,266,572 total(indirect: See Footnote) - Sale
Common Stock
2017-03-15$6.76/sh−1,382$9,344→ 57,402 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.74/sh−1,293$8,708→ 46,867 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−246,368$1,650,666→ 2,587,577 total(indirect: See Footnote) - Sale
Common Stock
2017-03-17$6.70/sh−3,632$24,334→ 38,150 total(indirect: See Footnote)
Holdings
- 77,292(indirect: See Footnote)
Common Stock
- 7,284
Common Stock
- 900,177(indirect: See Footnote)
Common Stock
- 2,742
Common Stock
- 4,207
Common Stock
Footnotes (8)
- [F1]The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest.
- [F2]The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest.
- [F3]The securities are directly held by Michael J. Lau. No other Reporting Person beneficially owns these securities.
- [F4]The securities are directly held by David E. Koenig. No other Reporting Person beneficially owns these securities.
- [F5]The securities are directly held by Philip F. DeSantis. No other Reporting Person beneficially owns these securities.
- [F6]The transactions were executed in multiple trades at prices ranging from $6.70 to $7.05. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- [F7]The transactions were executed in multiple trades at prices ranging from $6.70 to $6.85. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- [F8]The transactions were executed in multiple trades at prices ranging from $6.70 to $6.78. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
Documents
Issuer
Pacific Ethanol, Inc.
CIK 0000778164
Entity typeother
Related Parties
1- filerCIK 0001700055
Filing Metadata
- Form type
- 4
- Filed
- Mar 16, 8:00 PM ET
- Accepted
- Mar 17, 5:43 PM ET
- Size
- 40.7 KB