Statistik Asas
| LEI | 549300TI77MKE21DLE34 |
| CIK | 778164 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Alto Ingredients, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo |
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| August 6, 2025 |
Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2025 Results - Western Assets Increased Gross Profit by $5.6 Million, Compared to Q2 2024 - Pekin, IL, August 6, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, reported its financial results for the quarter ended June 30, 2025. “In 2025, our |
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| June 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Em |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Employe |
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| May 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI |
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| May 7, 2025 |
Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2025 Results - Beverage-grade Liquid CO2 Processor Acquisition and Corporate Reorganization Deliver Improved Year-over-Year Gross Margin and Adjusted EBITDA - Pekin, IL, May 7, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, reported its finan |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| May 1, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| April 30, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| March 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| March 18, 2025 |
Exhibit 10.1 March 17, 2025 Bradley L. Radoff 2727 Kirby Drive, Unit 29L Houston, Texas 77098 Michael Torok 68 Mazzeo Drive Randolph, Massachusetts 02368 Dear Messrs. Radoff and Torok: This letter agreement (this “Agreement”) constitutes the agreement between (i) Alto Ingredients, Inc. (the “Company”) and (ii) Bradley L. Radoff and Michael Torok (together, the “Radoff/Torok Group” and together wit |
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| March 18, 2025 |
Alto Ingredients, Inc. Directors to Not Stand for Reelection Exhibit 99.2 Alto Ingredients, Inc. Directors to Not Stand for Reelection Pekin, IL, March 18, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, today announced that two long-standing directors, Douglas L. Kieta and Michael D. Kandris, have decided they will not stand for reelection to the Alto Ingredi |
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| March 18, 2025 |
Alto Ingredients, Inc. Enters into Letter Agreement with Bradley L. Radoff and Michael Torok Exhibit 99.1 Alto Ingredients, Inc. Enters into Letter Agreement with Bradley L. Radoff and Michael Torok Pekin, IL, March 18, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, today announced that it has entered into a letter agreement (the “Letter Agreement”) with Bradley L. Radoff and Michael Torok |
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| March 13, 2025 |
Policy Statement on Insider Trading and Other Prohibited Trading Activities Exhibit 19.1 POLICIES AND PROCEDURES DEPARTMENT: CORPORATE SOP# II-033 Title: POLICY STATEMENT ON INSIDER TRADING AND OTHER PROHIBITED TRADING ACTIVITIES Policy: This Policy Statement on Insider Trading and Other Prohibited Trading Activities (the “Policy Statement”) defines the processes for preventing, detecting and managing the occurrence of insider trading and other prohibited trading activiti |
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| March 13, 2025 |
Subsidiaries of the Registrant Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Name State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Alto Magic Valley, LLC Delaware Alto Central, LLC Delaware Alto Pekin, LLC Delaware Alto ICP, LLC Delaware Eagle Alcohol Company LLC Missouri Alto Carbo |
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| March 13, 2025 |
Exhibit 10.27 Execution Version CONSENT AND THIRD AMENDMENT TO CREDIT AGREEMENT This CONSENT AND THIRD AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is dated as of January 1, 2025 (the “Third Amendment Effective Date”), by and between Alto Ingredients, Inc., a Delaware corporation as Borrower (“Borrower”), and OIC Investment Agent, LLC, a Delaware limited liability company as Administrative Age |
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| March 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN |
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| March 13, 2025 |
Exhibit 10.26 SECOND AMENDMENT TO CREDIT AGREEMENT This SECOND AMENDMENT TO CREDIT AGREEMENT (this Amendment ), dated as of November 6 , 2024 (the Second Amendment Effective Date ), by and between Alto Ingredients, Inc . , a Delaware corporation ( Borrower ), and OIC Investment Agent, LLC, a Delaware limited liability company, as Administrative Agent and Collateral Agent, (in such capacities, Admi |
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| March 5, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| March 5, 2025 |
Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2024 Results - Implemented Cost Savings Expected to Yield Approximately $8 Million Annually - - Integrated Accretive Acquisition of a Beverage-grade Liquid CO2 Processor - - Considering Asset Sales, a Merger or Other Strategic Transactions - Pekin, IL, March 5, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer a |
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| February 24, 2025 |
Directors and Officers of The Radoff Family Foundation EX-1 2 ex1to13d0907606902242025.htm DIRECTORS AND OFFICERS Exhibit 1 Directors and Officers of The Radoff Family Foundation Name and Position Principal Occupation Principal Business Address Citizenship Bradley L. Radoff Director* Rose Radoff Director and Secretary Director and Secretary 2727 Kirby Drive, Unit 29L Houston, Texas 77098 United States Russell Radoff Director Medical Doctor Medical Cli |
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| February 24, 2025 |
Transactions in the Securities of the Issuer During the Past 60 Days EX-2 3 ex2to13d0907606902242025.htm TRANSACTIONS IN SECURITIES Exhibit 2 Transactions in the Securities of the Issuer During the Past 60 Days Nature of the Transaction Amount of Securities Purchased/(Sold) Price ($) Date of Purchase/Sale THE RADOFF FAMILY FOUNDATION Purchase of Common Stock 150,000 1.4968 02/11/2025 Purchase of Common Stock 100,000 1.4672 02/12/2025 Purchase of Common Stock 75,000 |
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| February 24, 2025 |
EX-99.1 4 ex991to13d0907606902242025.htm GROUP AGREEMENT, DATED FEBRUARY 24, 2025 Exhibit 99.1 GROUP AGREEMENT This Agreement (this “Agreement”) is made and entered into as of February 24, 2025 (the “Effective Date”) by and among (i) The Radoff Family Foundation and Bradley L. Radoff (collectively, “Radoff”) and (ii) JEC II Associates, LLC and Michael Torok (collectively, “JEC” and together with R |
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| November 12, 2024 |
Exhibit 10.1 CERTAIN INFORMATION CONTAINED IN THIS CO2 TRANSPORTATION AND SEQUESTRATION AGREEMENT HAS, PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K, BEEN OMITTED BY MEANS OF REDACTING A PORTION OF THE TEXT AND REPLACING IT WITH [***] BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE. Execution Version CO2 transportation and sequ |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING |
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| November 6, 2024 |
Exhibit 99.1 Alto Ingredients, Inc. Reports Third Quarter 2024 Results - Enters CO2 Transportation and Sequestration Agreement with Vault 44.01 - Pekin, IL, November 6, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, reported its financial results for the quarter ended September 30, 2024. In a separa |
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| November 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 6, 2024 |
Alto Ingredients, Inc. Reports Second Quarter 2024 Results Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2024 Results Pekin, IL, August 6, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a producer and distributor of renewable fuel, essential ingredients and specialty alcohols, reported its financial results for the quarter ended June 30, 2024. Bryon McGregor, President and CEO of Alto Ingredients, said, “Our Pekin Campus has been producing alc |
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| June 20, 2024 |
Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Alto Ingredients, Inc. |
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| June 20, 2024 |
As filed with the Securities and Exchange Commission on June 20, 2024 As filed with the Securities and Exchange Commission on June 20, 2024 Registration No. |
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| June 20, 2024 |
2016 Stock Incentive Plan, as amended# Exhibit 4.11 ALTO INGREDIENTS, INC. 2016 STOCK INCENTIVE PLAN (As Amended Through June 20, 2024) ARTICLE ONE GENERAL PROVISIONS I. Purpose of the Plan. This 2016 Stock Incentive Plan is intended to promote the interests of Alto Ingredients, Inc. by providing eligible persons in the Corporation’s service with the opportunity to acquire a proprietary or economic interest, or otherwise increase their |
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| June 20, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 8, 2024 |
Form of Performance Share Agreement under 2016 Stock Incentive Plan (*) Exhibit 10.3 ALTO INGREDIENTS, INC. PERFORMANCE SHARE AGREEMENT THIS PERFORMANCE SHARE AGREEMENT (this “Agreement”) dated and effective as of (the “Grant Date”), by and between Alto Ingredients, Inc., a Delaware corporation (the “Company”) and «FirstName» «LastName» (“Employee”) is entered into as follows: A. WHEREAS, the Company has established the Alto Ingredients, Inc. 2016 Stock Incentive Plan |
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| May 8, 2024 |
Exhibit 10.1 Amendment to THIRD AMENDED AND RESTATED Employment Agreement for michael d. kandris This AMENDMENT TO third amended and restated Employment AGREEMENT for michael d. kandris (this “Amendment”) by and between Michael D. Kandris (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of April 1, 2024. RECITA |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Employer |
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| May 6, 2024 |
Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2024 Results – Improved Q1 2024 Gross Profit by $0.8 Million, Net Loss by $1.4 Million and Adjusted EBITDA by $3.4 Million over Q1 2023 – Pekin, IL, May 6, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a producer and distributor of renewable fuel and essential ingredients and the largest producer of specialty alcohols in the U.S., reported |
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| April 26, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| April 26, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| March 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| March 21, 2024 |
Exhibit 10.1 Alto Ingredients, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for TODD E. BENTON This Second Amended and Restated Employment Agreement (“Agreement”) by and between Todd E. Benton (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of April 1, 2024. Whereas, the Company desires to employ Exec |
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| March 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN |
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| March 14, 2024 |
Alto Ingredients, Inc. Dodd-Frank Clawback Policy Exhibit 97.1 ALTO INGREDIENTS, INC. DODD-FRANK CLAWBACK POLICY The Compensation Committee (the “Compensation Committee”) of the Board of Directors (the “Board”) and the full Board of Alto Ingredients, Inc., a Delaware corporation (the “Company”) have adopted the following Dodd-Frank Clawback Policy (this “Policy”) on September 6, 2023, effective as of October 2, 2023 (the “Effective Date”). 1. Pur |
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| March 14, 2024 |
Exhibit 10.24 FIRST AMENDMENT TO CREDIT AGREEMENT This FIRST AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is dated as of November 6, 2023 (the “Amendment Effective Date”), by and between “Alto Ingredients, Inc., a Delaware corporation as Borrower (“Borrower”), and OIC Investment Agent, LLC, a Delaware limited liability company as Administrative Agent and Collateral Agent (in such capacities, “ |
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| March 11, 2024 |
Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2023 Results - Delivered 2023 Gross Profit of $15.7 Million, Versus Gross Loss of $27.6 Million in 2022 – - Improved 2023 Net Loss by $13.6 Million and Adjusted EBITDA by $26.5 Million over 2022 – - Signed Letter of Intent with Vault 44.01 for CO2 Storage - Pekin, IL, March 11, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a p |
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| March 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission (IRS Employer of Incorp |
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| March 6, 2024 |
Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF ALTO INGREDIENTS, INC. (a Delaware corporation) Preamble These amended and restated Bylaws (the “Bylaws”) are subject to, and governed by, the General Corporation Law of the State of Delaware (the “Delaware General Corporation Law”) and the Certificate of Incorporation (the “Certificate of Incorporation”), as it may be further amended from time to time, o |
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| March 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 29, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| February 13, 2024 |
ALTO / Alto Ingredients, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Alto Ingredients Inc Title of Class of Securities: Common Stock CUSIP Number: 021513106 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| November 6, 2023 |
Alto Ingredients, Inc. Reports Third Quarter 2023 Results Exhibit 99.1 Alto Ingredients, Inc. Reports Third Quarter 2023 Results Pekin, IL, November 6, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients, reported its financial results for the quarter ended September 30, 2023. “Our transition to provide high margin, differentiated specialty alcohols and essential ingredients in |
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| September 20, 2023 |
Exhibit 10.2 Alto Ingredients, Inc. THIRD AMENDED AND RESTATED EMPLOYMENT AGREEMENT for MICHAEL D. KANDRIS This Third Amended and Restated Employment Agreement (“Agreement”) by and between Michael D. Kandris (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Co |
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| September 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission F |
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| September 20, 2023 |
Exhibit 10.1 Alto Ingredients, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for BRYON T. McGREGOR This Second Amended and Restated Employment Agreement (“Agreement”) by and between Bryon T. McGregor (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Co |
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| September 20, 2023 |
Exhibit 10.3 Alto Ingredients, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for ROBERT R. OLANDER This Second Amended and Restated Employment Agreement (“Agreement”) by and between Robert R. Olander (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Co |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE |
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| August 7, 2023 |
Exhibit 99.2 Alto Ingredients Announces Executive Leadership Changes - Bryon T. McGregor Appointed President and Chief Executive Officer – - Michael D. Kandris Retires as President and Chief Executive Officer and Continues as Director and Interim Chief Operating Officer – - Robert R. Olander Appointed Chief Financial Officer - Pekin, IL, August 7, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a le |
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| August 7, 2023 |
Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2023 Results - Delivered net income, positive Adjusted EBITDA and positive operating cash flow, while making significant capital expenditures to support business transformation - - Expects Positive Adjusted EBITDA in Q3 2023 - Pekin, IL, August 7, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| June 29, 2023 |
ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Illinois 61554 ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Illinois 61554 June 29, 2023 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Ben Richie, Staff Attorney Re: Alto Ingredients, Inc. Registration Statement on Form S-3 (File No. 333-272884) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the |
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| June 23, 2023 |
Exhibit 4.11 ALTO INGREDIENTS, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SENIOR DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13 Sectio |
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| June 23, 2023 |
Form of Subordinated Debt Indenture Exhibit 4.12 ALTO INGREDIENTS, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SUBORDINATED DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13 |
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| June 23, 2023 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Alto Ingredients, Inc. |
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| June 23, 2023 |
As filed with the Securities and Exchange Commission on June 23, 2023 As filed with the Securities and Exchange Commission on June 23, 2023 Registration No. |
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| June 23, 2023 |
Specimen Common Stock Certificate Exhibit 4.10 |
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| June 22, 2023 |
As filed with the Securities and Exchange Commission on June 22, 2023 As filed with the Securities and Exchange Commission on June 22, 2023 Registration No. |
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| June 22, 2023 |
2016 Stock Incentive Plan, as amended# Exhibit 4.11 ALTO INGREDIENTS, INC. 2016 STOCK INCENTIVE PLAN (Adopted March 25, 2016, and ratified by Stockholders June 16, 2016; Amended March 29, 2018, and ratified by Stockholders June 14, 2018; Amended August 6, 2019, and ratified by Stockholders November 7, 2019; Amended September 2, 2020, and ratified by Stockholders November 18, 2020; Amended March 30, 2022, and ratified by Stockholders Ju |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| June 22, 2023 |
Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Alto Ingredients, Inc. |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI |
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| May 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| May 8, 2023 |
Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2023 Results - Generated Sequential, Monthly Performance Improvements in 2023 - - Resumed Operations at Magic Valley, Idaho Plant in April 2023 - - Expects Positive Adjusted EBITDA in Q2 2023 - Pekin, IL, May 8, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients, |
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| May 1, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 1, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| April 28, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| March 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN |
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| March 14, 2023 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiary Name State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Alto Magic Valley, LLC Delaware Alto Central, LLC Delaware Alto Canton, LLC Delaware Alto Pekin, LLC Delaware Alto ICP, LLC Delaware Eagle Alcohol Company LLC Missouri |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| March 9, 2023 |
Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Full Year 2022 Results - Growth, Revenue Diversification and Efficiency Initiatives to Expand Annualized EBITDA by Over $65 Million by the End of 2025 and Over $125 Million by the End of 2026 - Pekin, IL, March 9, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingred |
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| February 9, 2023 |
ALTO / Alto Ingredients Inc / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SC 13G 1 tv0220-altoingredientsinc.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Alto Ingredients Inc. Title of Class of Securities: Common Stock CUSIP Number: 021513106 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant |
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| December 13, 2022 |
ALTO INGREDIENTS, INC. 1,282,051 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-268583 PROSPECTUS ALTO INGREDIENTS, INC. 1,282,051 shares of Common Stock This prospectus relates to the proposed resale, from time to time, of up to 1,282,051 shares of our common stock, $0.001 par value per share, or common stock, by the selling stockholders herein. On November 7, 2022, we entered into a credit agreement, or the Credit Agreem |
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| December 8, 2022 |
ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Ill 61554 CORRESP 1 filename1.htm ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Ill 61554 December 8, 2022 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Jane Park, Staff Attorney Re: Alto Ingredients, Inc. Registration Statement on Form S-3 (File No. 333-268583) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1 |
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| December 6, 2022 |
United States securities and exchange commission logo December 6, 2022 Michael Kandris President and Chief Executive Officer Alto Ingredients, Inc. |
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| November 29, 2022 |
As filed with the Securities and Exchange Commission on November 29, 2022 As filed with the Securities and Exchange Commission on November 29, 2022 Registration No. |
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| November 29, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) ALTO INGREDIENTS, Inc. |
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| November 14, 2022 |
Exhibit 10.2 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE AND CONFIDENTIAL AMENDMENT NO. 6 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NO. 6 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this ?Amendment?) is entered into as of Novemb |
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| November 14, 2022 |
Exhibit 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE AND CONFIDENTIAL Execution Version CREDIT AGREEMENT dated as of November 7, 2022 among ALTO INGREDIENTS, INC., as Borrower, THE SUBSIDIARY GUARANTORS SIGNATORY HERETO, THE LENDERS FROM TIME TO TIME |
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| November 14, 2022 |
Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this ?Agreement?) is made and entered into as of November 7, 2022, by and among Alto Ingredients, Inc., a Delaware corporation (the ?Company?), and the Holders (as defined herein) set forth on the signature page hereto and the Persons who become party to this Agreement from time to time upon the execution of a Joinder ( |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING |
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| November 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| November 7, 2022 |
Alto Ingredients, Inc. Reports Third Quarter 2022 Results Exhibit 99.1 Alto Ingredients, Inc. Reports Third Quarter 2022 Results ● Grew Net Sales to $336.9 Million, Up 10% from Q3 2021 ● Secured Up to $125 Million in Available Debt for Large Capital-Intensive Programs Sacramento, CA, November 7, 2022 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients, reported its financial results |
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| August 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE |
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| August 8, 2022 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo |
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| August 8, 2022 |
Alto Ingredients, Inc. Reports Second Quarter 2022 Results Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2022 Results ? Grew Net Sales to $362.2 Million, Up 21% from Q2 2021 ? Generated Net Income of $21.5 Million, $0.29 per Diluted Share, Up from $8.0 Million, $0.11 per Diluted Share in Q2 2021 ? Increased Adjusted EBITDA to $29.9 Million, Up from $17.0 Million in Q2 2021 Sacramento, CA, August 8, 2022 ? Alto Ingredients, Inc. (NASDAQ: ALTO) |
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| July 6, 2022 |
As filed with the Securities and Exchange Commission on July 6, 2022 As filed with the Securities and Exchange Commission on July 6, 2022 Registration No. |
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| July 6, 2022 |
Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Alto Ingredients, Inc. |
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| July 6, 2022 |
2016 Stock Incentive Plan, as amended# Exhibit 4.11 ALTO INGREDIENTS, INC. 2016 STOCK INCENTIVE PLAN (Adopted March 25, 2016, and ratified by Stockholders June 16, 2016; Amended March 29, 2018, and ratified by Stockholders June 14, 2018; Amended August 6, 2019, and ratified by Stockholders November 7, 2019; Amended September 2, 2020, and ratified by Stockholders November 18, 2020; Amended March 30, 2022, and ratified by Stockholders Ju |
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| June 23, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| June 17, 2022 |
DEFR14A 1 ea161758-defr14aaltoingred.htm DEFINITIVE REVISED PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a |
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| June 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| June 1, 2022 |
Consulting Agreement dated May 28, 2022 between the Registrant and Christopher W. Wright Exhibit 10.1 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (this ?Agreement?) is made and entered into as of May 28th, 2022, by and between Alto Ingredients, Inc., a Delaware corporation (the ?Company?), and Christopher W. Wright, an individual (the ?Consultant?). R E C I T A L S A. Consultant has retired from his former position of Vice President and General Counsel. B. The Company desires to re |
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| May 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI |
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| May 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| May 9, 2022 |
Alto Ingredients, Inc. Reports First Quarter 2022 Results Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2022 Results ? Increased Net Sales 41% to $308 Million vs. Q1 2021 ? Integrated Acquisition of Specialty Alcohol Distributor, Eagle Alcohol ? Launched Quality and ESG Initiatives Sacramento, CA, May 9, 2022 ? Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients, reported i |
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| May 2, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240. |
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| May 2, 2022 |
DEFA14A 1 ea159266-defa14aalto.htm DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Prox |
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| March 15, 2022 |
Exhibit 2.3 EXECUTION COPY ASSET PURCHASE AGREEMENT dated as of November 5, 2021 by and among PACIFIC ETHANOL STOCKTON LLC as Seller, PELICAN ACQUISITION LLC as Purchaser, and for purposes of Article V and Article XI, ALTO INGREDIENTS, INC. as Seller Parent TABLE OF CONTENTS ARTICLE I DEFINITIONS Section 1.1 Definitions 1 Section 1.2 Interpretation 11 ARTICLE II PURCHASE AND SALE Section 2.1 Purch |
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| March 15, 2022 |
Subsidiaries of the Registrant EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Name State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Specialty Products, LLC Delaware Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Alto Magic Valley, LLC Delaware Alto Central, LLC Delaware Alto Canton, LLC Delaware Alto Pekin, LLC Delaware Alto |
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| March 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN |
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| March 15, 2022 |
Employment Agreement dated February 1, 2022 between the Registrant and Auste M. Graham# Exhibit 10.9 Alto Ingredients, Inc. EMPLOYMENT AGREEMENT for AUSTE M. GRAHAM This Employment Agreement (?Agreement?) by and between Auste M. Graham (?Executive?) and Alto Ingredients, Inc. (the ?Company?) (collectively, the ?Parties?) is effective as of the last date signed by the Parties. Whereas, the Company desires to employ Executive to provide personal services to the Company, and wishes to p |
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| March 15, 2022 |
Exhibit 10.21 WAIVER, CONSENT, AND AMENDMENT NO. 5 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This WAIVER, CONSENT, AND AMENDMENT NO. 5 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this ?Amendment?) is entered into as of June 10, 2021, by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, in its capacity as administrative agent (in such capacity, ?Agent?) for each member of the Lender Grou |
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| March 15, 2022 |
Exhibit 10.20 WAIVER, CONSENT, AND AMENDMENT NO. 4 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT AND AMENDMENT TO OTHER AGREEMENTS This WAIVER, CONSENT, AND AMENDMENT NO. 4 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT AND AMENDMENT TO OTHER AGREEMENTS (this ?Amendment?) is entered into as of March 8, 2021, by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, in its capacity as administrative |
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| March 10, 2022 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| March 10, 2022 |
Alto Ingredients, Inc. Reports Fourth Quarter and Full Year 2021 Results Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Full Year 2021 Results ? Increased Net Sales 128% to $385 Million and Gross Profit 209% to $42 Million in Q4 2021 vs. Q4 2020 ? Improved Net Income Available to Common Stockholders to $35 Million from Net Loss of $21 Million and Adjusted EBITDA 168% to $43 Million in Q4 2021 vs. Q4 2020 ? Grew Net Sales 35% to $1.2 Billion and Gross Pr |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING |
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| November 10, 2021 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| November 9, 2021 |
Alto Ingredients Reports Third Quarter 2021 Results Exhibit 99.1 Alto Ingredients Reports Third Quarter 2021 Results ? Third Quarter Net Loss of $3.5 million and Positive Adjusted EBITDA of $3.0 million ? Subsequent to Quarter-End, the Company Sold its Stockton, CA Facility ? Company is Now Term Debt Free Sacramento, CA, November 9, 2021 ? Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer of specialty alcohols and essential ingredients, rep |
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| November 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 10, 2021 |
Exhibit 10.2 FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT This First Amendment to Asset Purchase Agreement (this ?Amendment?) is made and entered into this 30th day of July, 2021 (the ?Execution Date?), by and between SEABOARD ENERGY CALIFORNIA, LLC, a Delaware limited liability company (?Purchaser?), PACIFIC ETHANOL MADERA LLC, a Delaware limited liability company (?Seller?), and ALTO INGREDIENTS, |
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| August 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE |
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| August 10, 2021 |
Exhibit 10.1 EXECUTION COPY ASSET PURCHASE AGREEMENT Dated as of April 23, 2021 By and Between Seaboard Energy California, LLC as Purchaser, Pacific Ethanol Madera LLC as Seller and, for purposes of Article IV and Article IX, Alto Ingredients, Inc. as Seller Parent TABLE OF CONTENTS Page Article I. PURCHASE AND SALE OF THE PURCHASED ASSETS; ASSUMPTION OF ASSUMED LIABILITIES 1 1.1 Purchase and Sale |
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| August 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 3, 2021 |
Alto Ingredients Reports Second Quarter 2021 Results Exhibit 99.1 Alto Ingredients Reports Second Quarter 2021 Results ? Second Quarter Net Income of $8.1 million, or $0.11 per share ? Second Quarter Adjusted EBITDA of $17.0 million Sacramento, CA, August 3, 2021 ? Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer of specialty alcohols and essential ingredients, reported its financial results for the second quarter ended June 30, 2021. ?In t |
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| June 17, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 17, 2021 |
Exhibit 3.2 CERTIFICATE OF DESIGNATIONS, POWERS, PREFERENCES AND RIGHTS OF THE SERIES A CUMULATIVE REDEEMABLE CONVERTIBLE PREFERRED STOCK OF PACIFIC ETHANOL, INC. PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW Pacific Ethanol, Inc. (the "CORPORATION"), organized and existing under the laws of the State of Delaware, does, by its Chief Operating Officer and under its corporate seal, |
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| May 17, 2021 |
Exhibit 3.3 CERTIFICATE OF DESIGNATIONS, POWERS, PREFERENCES AND RIGHTS OF THE SERIES B CUMULATIVE CONVERTIBLE PREFERRED STOCK OF PACIFIC ETHANOL, INC. Pursuant to Section 151 of the Delaware General Corporation Law Pacific Ethanol, Inc. (the ?Corporation?), organized and existing under the laws of the State of Delaware, does, by its Chief Financial Officer and under its corporate seal, hereby cer |
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| May 17, 2021 |
Certificate of Amendment to Certificate of Incorporation dated June 8, 2011 Exhibit 3.5 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr |
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| May 17, 2021 |
Certificate of Amendment to Certificate of Incorporation dated June 3, 2010 Exhibit 3.4 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI |
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| May 17, 2021 |
Second Amended and Restated Bylaws Exhibit 3.9 SECOND AMENDED AND RESTATED BYLAWS OF ALTO INGREDIENTS, INC. (a Delaware corporation) Preamble These second amended and restated Bylaws (the ?Bylaws?) are subject to, and governed by, the General Corporation Law of the State of Delaware (the ?Delaware General Corporation Law?) and the Certificate of Incorporation (the ?Certificate of Incorporation?), as it may be further amended from t |
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| May 17, 2021 |
Certificate of Amendment to Certificate of Incorporation dated May 14, 2013 Exhibit 3.6 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr |
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| May 17, 2021 |
Exhibit 3.1 State of Delaware Secretary of State Division of Corporations Delivered 06:27 PM 02/28/2005 Filed 06:27 PM 02/28/2005 SRV 050169353 - 3877538 FILE CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC., A DELAWARE CORPORATION FIRST: The name of the corporation is: PACIFIC ETHANOL, INC. SECOND: The address of the corporation's registered office in the State of Delaware is Corporation Tru |
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| May 17, 2021 |
Certificate of Amendment to Certificate of Incorporation dated July 1, 2015 Exhibit 3.7 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr |
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| May 17, 2021 |
Certificate of Amendment to Certificate of Incorporation dated January 12, 2021 Exhibit 3.8 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr |
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| May 12, 2021 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Employe |
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| May 12, 2021 |
Alto Ingredients Reports First Quarter 2021 Results EX-99.1 2 ea140702ex99-1altoingre.htm PRESS RELEASE DATED MAY 12, 2021 Exhibit 99.1 Alto Ingredients Reports First Quarter 2021 Results ● First Quarter Net Income of $4.4 million, or $0.06 per share ● First Quarter Adjusted EBITDA of $13.6 million ● Further optimized fuel-grade ethanol production footprint with announced sale of Madera, CA production facility Sacramento, CA, May 12, 2021 – Alto In |
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| April 29, 2021 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission F |
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| April 27, 2021 |
- DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240. |
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| April 27, 2021 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240. |
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| March 26, 2021 |
Exhibit 10.85 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| March 26, 2021 |
EX-10.86 3 f10k2020ex10-86altoingred.htm REGISTRATION RIGHTS AGREEMENT DATED OCTOBER 28, 2020 BY AND BETWEEN THE REGISTRANT AND CVI INVESTMENTS, INC Exhibit 10.86 Execution Version REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of October 28, 2020, is by and among Pacific Ethanol, Inc., a Delaware corporation, with offices located at 400 Capitol Mall, |
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| March 26, 2021 |
Subsidiaries of the Registrant EX-21.1 4 f10k2020ex21-1altoingred.htm SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Name* State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Specialty Products, LLC Delaware Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Pacific Ethanol Madera LLC Delaware Alto Ma |
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| March 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN |
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| March 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo |
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| March 10, 2021 |
Alto Ingredients Reports Fourth Quarter and Full Year 2020 Results EX-99.1 2 ea137342ex99-1altoingred.htm PRESS RELEASE DATED MARCH 10, 2021 Exhibit 99.1 Alto Ingredients Reports Fourth Quarter and Full Year 2020 Results ● Full year 2020 net loss of $16.4 million,which included a $24.4 million impairment charge ● Full year 2020 Adjusted EBITDA of $67.4 million ● Total debt reduced by approximately $146 million Sacramento, CA, March 10, 2021 – Alto Ingredients, In |
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| February 16, 2021 |
CUSIP No: 021513106 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2. (Amendment No. 1)* Alto Ingredients, Inc. (formerly Pacific Ethanol, Inc.) (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of S |
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| January 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of (Commission File Number) (IRS |
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| January 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of (Commission File Number) (IRS |
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| January 13, 2021 |
Second Amended and Restated Bylaws EX-3.2 3 ea133228ex3-2altoingre.htm SECOND AMENDED AND RESTATED BYLAWS Exhibit 3.2 SECOND AMENDED AND RESTATED BYLAWS OF ALTO INGREDIENTS, INC. (a Delaware corporation) Preamble These second amended and restated Bylaws (the “Bylaws”) are subject to, and governed by, the General Corporation Law of the State of Delaware (the “Delaware General Corporation Law”) and the Certificate of Incorporation (t |
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| January 13, 2021 |
Certificate of Amendment to Certificate of Incorporation effective January 12, 2021 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation’s Certificate of Incorporation was filed with the Secr |
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| December 23, 2020 |
EX-10.7 8 ea132198ex10-7pacific.htm FIRST AMENDMENT TO GUARANTY DATED AS OF DECEMBER 18, 2020 BY ILLINOIS CORN PROCESSING, LLC IN FAVOR OF COMPEER FINANCIAL, PCA AND COBANK, ACB Exhibit 10.7 FIRST AMENDMENT TO GUARANTY This First Amendment to Guaranty (this “Amendment”) is made as of December 18, 2020 by and among ILLINOIS CORN PROCESSING, LLC, a limited liability company organized and existing un |
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| December 23, 2020 |
EX-10.4 5 ea132198ex10-4pacific.htm INTERCOMPANY REVOLVING DEMAND NOTE DATED DECEMBER 18, 2020 BY PACIFIC ETHANOL PEKIN, LLC IN FAVOR OF ILLINOIS CORN PROCESSING, LLC Exhibit 10.4 INTERCOMPANY Revolving DEMAND NOTE December 18, 2020 FOR VALUE RECEIVED, each of the undersigned, to the extent a borrower (each, in such capacity, a “Maker”) from time to time from any other entity listed on the signatu |
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| December 23, 2020 |
EX-10.3 4 ea132198ex10-3pacific.htm FIRST AMENDMENT TO GUARANTY DATED AS OF DECEMBER 18, 2020 BY PACIFIC ETHANOL PEKIN, LLC IN FAVOR OF COMPEER FINANCIAL, PCA AND COBANK, ACB Exhibit 10.3 FIRST AMENDMENT TO GUARANTY This First Amendment to Guaranty (this “Amendment”) is made as of December 18, 2020 by and among PACIFIC ETHANOL PEKIN, LLC, a limited liability company organized and existing under th |
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| December 23, 2020 |
Exhibit 10.9 SECOND AMENDMENT TO SECURITY AGREEMENT This Second Amendment to Security Agreement (this “Amendment”) is made as of December 18, 2020 by and among PACIFIC ETHANOL CENTRAL, LLC, a limited liability company organized under the laws of Delaware (“Grantor”), and COBANK, ACB, a federally-chartered instrumentality of the United States, as Agent (together with its successors and assigns, “Se |
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| December 23, 2020 |
Exhibit 10.8 INTERCOMPANY Revolving DEMAND NOTE December 18, 2020 FOR VALUE RECEIVED, each of the undersigned, to the extent a borrower (each, in such capacity, a “Maker”) from time to time from any other entity listed on the signature pages hereto as holder (each, in such capacity, a “Holder”) hereby unconditionally promises to pay to the order of such Holder, ON DEMAND, to such place as the hold |
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| December 23, 2020 |
EX-10.5 6 ea132198ex10-5pacific.htm AMENDMENT NO. 3 TO CREDIT AGREEMENT AND WAIVER DATED AS OF DECEMBER 18, 2020 BY AND AMONG ILLINOIS CORN PROCESSING, LLC, COMPEER FINANCIAL, PCA AND COBANK, ACB Exhibit 10.5 AMENDMENT NO. 3 TO CREDIT AGREEMENT AND WAIVER THIS AMENDMENT NO. 3 TO CREDIT AGREEMENT AND WAIVER, dated as of December 18, 2020 (this “Agreement”), is entered into by and between ILLINOIS C |
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| December 23, 2020 |
EX-10.11 12 ea132198ex10-11pacific.htm FIRST AMENDMENT TO ASSIGNMENT OF NOTES AND DEEDS OF TRUST DATED AS OF DECEMBER 18, 2020 BY AND BETWEEN PACIFIC ETHANOL CENTRAL, LLC AND COBANK, ACB Exhibit 10.11 FIRST AMENDMENT TO ASSIGNMENT OF NOTES AND DEEDS OF TRUST This First Amendment to Assignment of Notes and Deeds of Trust (this “Amendment”) is made as of December 18, 2020 by and among PACIFIC ETHANO |
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| December 23, 2020 |
Exhibit 10.10 FIRST AMENDMENT TO INTERCREDITOR AGREEMENT This First Amendment to Intercreditor Agreement (this “Amendment”) is made as of December 18, 2020 by and among the Pekin Lenders and ICP Lenders (each as defined below). WHEREAS, PACIFIC ETHANOL PEKIN, LLC, a Delaware limited liability company (“Pekin”), COMPEER FINANCIAL, PCA, a federally-chartered instrumentality of the United States, suc |
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| December 23, 2020 |
Exhibit 10.2 FOURTH AMENDED AND RESTATED REVOLVING TERM NOTE $20,580,000 Greenwood Village, Colorado December 18, 2020 FOR VALUE RECEIVED, PACIFIC ETHANOL PEKIN, LLC, a limited liability company organized and existing under the laws of Delaware (the “Company”), hereby promises to pay to the order of COMPEER FINANCIAL, PCA, successor by merger to 1st Farm Credit Services, PCA (which, together with |
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| December 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| December 23, 2020 |
Exhibit 10.1 AMENDMENT NO. 9 TO CREDIT AGREEMENT AND WAIVER THIS AMENDMENT NO. 9 TO CREDIT AGREEMENT AND WAIVER, dated as of December 18, 2020 (this “Agreement”), is entered into by and between PACIFIC ETHANOL PEKIN, LLC, a limited liability company organized and existing under the laws of Delaware (“Company”), COMPEER FINANCIAL, PCA, a federally-chartered instrumentality of the United States, suc |
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| December 23, 2020 |
EX-10.6 7 ea132198ex10-6pacific.htm SECOND AMENDED AND RESTATED REVOLVING TERM NOTE DATED DECEMBER 18, 2020 BY ILLINOIS CORN PROCESSING, LLC IN FAVOR OF COMPEER FINANCIAL, PCA Exhibit 10.6 SECOND AMENDED AND RESTATED REVOLVING TERM NOTE $9,420,000 Greenwood Village, Colorado December 18, 2020 FOR VALUE RECEIVED, ILLINOIS CORN PROCESSING, LLC, a limited liability company organized and existing unde |
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| November 30, 2020 |
PACIFIC ETHANOL, INC. 8,900,493 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-250821 PROSPECTUS PACIFIC ETHANOL, INC. 8,900,493 shares of Common Stock This prospectus relates to the proposed resale, from time to time, by the selling stockholder named in this prospectus of an aggregate of up to 8,900,493 shares of our common stock, $0.001 par value per share, or common stock, issuable upon exercise of our outstanding Seri |
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| November 24, 2020 |
United States securities and exchange commission logo November 24, 2020 Michael D. |
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| November 24, 2020 |
United States securities and exchange commission logo November 24, 2020 Michael D. |
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| November 24, 2020 |
PACIFIC ETHANOL, INC. 400 Capitol Mall, Suite 2060 Sacramento, CA 95814 November 25, 2020 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Alan Campbell Re: Pacific Ethanol, Inc. Registration Statement on Form S-3 (File No. 333-250821) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the “1933 Ac |
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| November 20, 2020 |
As filed with the Securities and Exchange Commission on November 20, 2020 Registration No. |
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| November 18, 2020 |
As filed with the Securities and Exchange Commission on November 18, 2020 Registration No. |
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| November 18, 2020 |
2016 Stock Incentive Plan, as amended# EX-4.10 2 ea130099ex4-10pacific.htm 2016 STOCK INCENTIVE PLAN (AS AMENDED THROUGH NOVEMBER 18, 2020) Exhibit 4.10 PACIFIC ETHANOL, INC. 2016 STOCK INCENTIVE PLAN (Adopted March 25, 2016, and ratified by Stockholders June 16, 2016; Amended March 29, 2018, and ratified by Stockholders June 14, 2018; Amended August 6, 2019, and ratified by Stockholders November 7, 2019; Amended September 2, 2020, and |
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| November 18, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emp |
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| November 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 PACIFIC |
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| November 9, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Empl |
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| November 9, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| November 9, 2020 |
Pacific Ethanol Reports Third Quarter 2020 Results EX-99.1 2 ea129572ex99-1pacific.htm PRESS RELEASE DATED AUGUST 11, 2020 Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Reports Third Quarter 2020 Results ● Net income of $14.9 million and |
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| November 9, 2020 |
EX-10.1 2 ea129508ex10-1pacific.htm REAL ESTATE PURCHASE AND SALE AGREEMENT DATED NOVEMBER 6, 2020 BY AND BETWEEN PACIFIC ETHANOL MAGIC VALLEY, LLC AND LIBERTY BASIN, LLC Exhibit 10.1 REAL ESTATE PURCHASE AND SALE AGREEMENT between Pacific Ethanol Magic Valley, LLC, a Delaware limited liability company (“Seller”), and Liberty Basin, LLC, an Idaho limited liability company, or its successors, nomin |
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| October 28, 2020 |
PEIX / Pacific Ethanol, Inc. / CVI Investments, Inc. - SC 13G Passive Investment CUSIP No: 69423U305 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Pacific Ethanol, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 69423U305 (CUSIP Number) |
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| October 28, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| October 28, 2020 |
Pacific Ethanol Announces Closing of $75 Million Equity Offerings EX-99.1 2 ea129068ex99-1pacificetha.htm PRESS RELEASE DATED OCTOBER 28, 2020 Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Announces Closing of $75 Million Equity Offerings Sacramento, C |
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| October 26, 2020 |
EX-10.2 7 ea128724ex10-2pacific.htm FORM OF REGISTRATION RIGHTS AGREEMENT TO BE ENTERED INTO BY AND BETWEEN PACIFIC ETHANOL, INC. AND THE INVESTOR PARTY THERETO Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of October , 2020, is by and among Pacific Ethanol, Inc., a Delaware corporation, with offices located at 400 Capitol Mall, Suite 20 |
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| October 26, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of October 26, 2020, is by and among Pacific Ethanol, Inc., a Delaware corporation with offices located at 400 Capitol Mall, Suite 2060, Sacramento, California (the “Company”), and each of the investors listed on the Schedule of Buyers attached hereto (individually, a “Buyer” and collectively, |
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| October 26, 2020 |
Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Announces Strategic Realignment to Focus on Specialty Alcohols and Essential Ingredients, Intent to Change Corporate Name, Preliminary Third |
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| October 26, 2020 |
Form of Pre-Funded Warrant (*) Exhibit 4.1 THE NUMBER OF SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT MAY BE LESS THAN THE AMOUNTS SET FORTH ON THE FACE HEREOF PURSUANT TO SECTION 1(a) OF THIS WARRANT. PACIFIC ETHANOL, INC. Series B Prepaid Warrant To Purchase Common Stock Warrant No.: B-1 Date of Issuance: October , 2020 (“Issuance Date”) PACIFIC ETHANOL, INC., a Delaware corporation (the “Company”), hereby ce |
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| October 26, 2020 |
Exhibit 99.2 Pacific Ethanol, Inc. Specialty Alcohols and Essential Ingredients INVESTOR PRESENTATION Fall 2020 Disclaimer 2 Statements and information contained in this communication that refer to or include Pacific Ethanol’s estimated or anticipated future results or other non - historical expressions of fact are forward - looking statements that reflect Pacific Ethanol’s current perspective of |
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| October 26, 2020 |
424B5 1 ea128868-424b5pacificethan.htm PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-238939 PROSPECTUS SUPPLEMENT (to Prospectus dated July 1, 2020) PACIFIC ETHANOL, INC. 5,075,000 shares of Common Stock Pre-funded Warrants to Purchase Up to 3,825,493 Shares of Common Stock 3,825,493 Shares of Common Stock Underlying the Pre-funded Warrants We are offering 5 |
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| October 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| October 26, 2020 |
Exhibit 1.1 Execution Version 5,075,000 Shares of Common Stock, par value $0.001 Pre-Funded Warrants to Purchase 3,825,493 Shares of Common Stock PACIFIC ETHANOL, INC. UNDERWRITING AGREEMENT October 26, 2020 GUGGENHEIM SECURITIES, LLC As Representative of the several Underwriters set forth in Schedule C hereto c/o Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 Dear Sirs: 1. |
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| October 26, 2020 |
Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 23, 2020 |
424B5 1 ea128826-424b5pacific.htm PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-238939 PROSPECTUS SUPPLEMENT (to Prospectus dated July 1, 2020) PACIFIC ETHANOL, INC. This prospectus supplement amends and supplements the information in our shelf registration statement on Form S-3 (File No. 333-238939), or the registration statement, of which the prospectus su |
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| October 23, 2020 |
Termination of a Material Definitive Agreement - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| October 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Em |
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| September 25, 2020 |
DEFA14A 1 ea127334-defa14apacific.htm DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive P |
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| September 25, 2020 |
DEF 14A 1 ea127335-def14apacificethan.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Pr |
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| August 13, 2020 |
PACIFIC ETHANOL, INC. Up to $30,000,000 of Common Stock Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-238939 PROSPECTUS SUPPLEMENT (to Prospectus dated July 1, 2020) PACIFIC ETHANOL, INC. Up to $30,000,000 of Common Stock We have entered into an At Market Issuance Sales Agreement, or sales agreement, with H.C. Wainwright & Co., LLC, or Wainwright, dated August 13, 2020, relating to the sale of shares of our common stock offered by thi |
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| August 13, 2020 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 PACIFIC ETHAN |
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| August 13, 2020 |
Exhibit 10.1 PACIFIC ETHANOL, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement August 13, 2020 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: Pacific Ethanol, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (“HCW”) as follows: 1. Issuance and Sale of Shares. |
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| August 13, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo |
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| August 11, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 11, 2020 |
Pacific Ethanol Reports Second Quarter 2020 Results EX-99.1 2 ea125382ex99-1pacific.htm PRESS RELEASE DATED AUGUST 11, 2020 Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Reports Second Quarter 2020 Results ● Net income of $14.6 million an |
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| August 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-21467 (Commission File Number) 41-2 |
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| August 7, 2020 |
Exhibit 10.1 Pacific Ethanol, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for MICHAEL D. KANDRIS This Second Amended and Restated Employment Agreement (“Agreement”) by and between Michael D. Kandris (“Executive”) and Pacific Ethanol, Inc. (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Company desires to employ Executive |
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| August 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-21467 (Commission File Number) 41-2 |
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| July 20, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| July 20, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| July 8, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240. |
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| July 1, 2020 |
PACIFIC ETHANOL, INC. 400 Capitol Mall, Suite 2060 Sacramento, CA 95814 July 1, 2020 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Timothy Buchmiller, Staff Attorney Re: Pacific Ethanol, Inc. Registration Statement on Form S-3 (File No. 333-238939) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amend |
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| June 25, 2020 |
- AMENDMENT NO. 1 TO REGISTRATION STATEMENT S-3/A 1 ea123312-s3a1pacificethan.htm AMENDMENT NO. 1 TO REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on June 25, 2020 Registration No. 333-238939 U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PACIFIC ETHANOL, INC. (Exact name of registrant as specified in its charte |
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| June 25, 2020 |
Troutman Sanders LLP 5 Park Plaza, Suite 1400 Irvine, CA 92614-2545 troutman.com Larry A. Cerutti 949.622.2710 [email protected] June 25, 2020 BY EDGAR AND FEDEX United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Tim Buchmiller and Joseph McCann Re: Pacific Ethanol, Inc. Registration Stat |
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| June 15, 2020 |
TEXT-EXTRACT 2 filename2.txt United States securities and exchange commission logo June 12, 2020 Michael D. Kandris Co-President and Co-Chief Executive Officer Pacific Ethanol, Inc. 400 Capitol Mall, Suite 2060 Sacramento, California 95814 Re: Pacific Ethanol, Inc. Registration Statement on Form S-3 Filed June 4, 2020 File No. 333-238939 Dear Mr. Kandris: We have limited our review of your registr |
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| June 15, 2020 |
United States securities and exchange commission logo June 12, 2020 Michael D. Kandris Co-President and Co-Chief Executive Officer Pacific Ethanol, Inc. 400 Capitol Mall, Suite 2060 Sacramento, California 95814 Re: Pacific Ethanol, Inc. Registration Statement on Form S-3 Filed June 4, 2020 File No. 333-238939 Dear Mr. Kandris: We have limited our review of your registration statement to those issu |
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| June 4, 2020 |
Specimen Common Stock Certificate EX-4.9 2 ea122619ex4-9pacificethan.htm SPECIMEN COMMON STOCK CERTIFICATE EXHIBIT 4.9 |
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| June 4, 2020 |
Exhibit 4.10 PACIFIC ETHANOL, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SENIOR DEBT SECURITIES PACIFIC ETHANOL, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13 Section |
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| June 4, 2020 |
As filed with the Securities and Exchange Commission on June 4, 2020 Registration No. |
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| June 4, 2020 |
Form of Subordinated Debt Indenture Exhibit 4.11 PACIFIC ETHANOL, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SUBORDINATED DEBT SECURITIES PACIFIC ETHANOL, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13 Se |
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| May 29, 2020 |
Exhibit 10.1 NOTE AMENDMENT NO. 6 THIS NOTE AMENDMENT NO. 6. (this “Amendment”) is dated as of May 26, 2020 by and among Pacific Ethanol, Inc., a Delaware corporation (the “Company”) and the Noteholders. Capitalized terms used and not otherwise defined in this Amendment shall have the meanings attributed to them in the Amended Note Agreement and Notes (as defined below). RECITALS: WHEREAS, pursuan |
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| May 29, 2020 |
8-K 1 ea122403-8kpacificethanol.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other |
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| May 29, 2020 |
Exhibit 10.2 Pacific Ethanol, Inc. SECOND AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT for NEIL M. KOEHLER This Second Amendment (“Second Amendment”) to that certain Amended and Restated Employment Agreement (“Agreement”) by and between Neil M. Koehler (“Employee”) and Pacific Ethanol, Inc. (the “Company”) (collectively, the “Parties”) is effective as of May 22, 2020. Whereas, the Partie |
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| May 29, 2020 |
Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol, Inc. Increases Focus on High-Quality Alcohol Production; Expects Positive EBITDA for Second Quarter and Full Year 2020; and Announces Leade |
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| May 14, 2020 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 PACIFIC ETHA |
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| May 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| May 12, 2020 |
Pacific Ethanol Reports First Quarter 2020 Results EX-99.1 2 ea121719ex99-1pacific.htm PRESS RELEASE DATED MAY 12, 2020 Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Reports First Quarter 2020 Results Sacramento, CA, May 12, 2020– Pacifi |
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| May 11, 2020 |
Exhibit 10.1 Execution Version ALL LIENS AND SECURITY INTERESTS EVIDENCED BY THIS SECURITY AGREEMENT SHALL AT ALL TIMES BE SUBORDINATE AND JUNIOR TO THE LIENS AND SECURITY INTERESTS GRANTED TO COBANK, ACB, A FEDERALLY-CHARTERED INSTRUMENTALITY OF THE UNITED STATES, PURSUANT TO THAT CERTAIN SECURITY AGREEMENT DATED AS OF December 15, 2016 (AS AMENDED FROM TIME TO TIME) MADE BY DEBTORS (DEFINED BELO |
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| May 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| May 7, 2020 |
Promissory Note by Pacific Ethanol Pekin, LLC in favor of Bank of America, NA dated May 1, 2020 (*) EX-10.2 3 ea121517ex10-2pacificeth.htm PROMISSORY NOTE BY PACIFIC ETHANOL PEKIN, LLC IN FAVOR OF BANK OF AMERICA, NA DATED MAY 1, 2020 Exhibit 10.2 Promissory Note Date Loan Amount Interest Rate after Deferment Period Deferment Period May 01, 2020 $ 3,886,729.20 1.00% fixed per annum 6 months This Promissory Note (“Note”) sets forth and confirms the terms and conditions of a term loan to Pacific E |
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| May 7, 2020 |
8-K 1 ea121517-8kpacificethanol.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other J |
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| May 7, 2020 |
Promissory Note by Pacific Ethanol, Inc. in favor of Bank of America, NA dated April 29, 2020 (*) EX-10.1 2 ea121517ex10-1pacificeth.htm PROMISSORY NOTE BY PACIFIC ETHANOL, INC. IN FAVOR OF BANK OF AMERICA, NA DATED APRIL 29, 2020 Exhibit 10.1 Promissory Note Date Loan Amount Interest Rate after Deferment Period Deferment Period April 29, 2020 $ 5,973,138.00 1.00% fixed per annum 6 months This Promissory Note (“Note”) sets forth and confirms the terms and conditions of a term loan to Pacific E |
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| April 29, 2020 |
Subsidiaries of the Registrant EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Name* Name(s) Under Which Subsidiary Does Business** State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC − Oregon Pacific Ag. Products, LLC PAP California Pacific Ethanol Development, LLC − Delaware PE Op Co. − Delaware Pacific Ethanol West, LLC − Delaware Pacific Ethanol Columbia, LLC − Delaware Pacific Ethanol Madera |
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| April 29, 2020 |
10-K/A 1 f10k2019a1pacificethanolinc.htm AMENDMENT NO. 1 TO FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Mark One) ☒ AMENDMENT NO. 1 TO ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT |
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| April 23, 2020 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 17, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| April 21, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| April 21, 2020 |
Exhibit 10.8 Execution Version PARTIAL RELEASE OF COLLATERAL LETTER Pacific Ethanol, Inc. 400 Capitol Mall, Suite 2060 Sacramento, CA 95814 Aurora Cooperative Elevator Company 2225 Q Street Aurora, NE 68818 April 15, 2020 Re: The Senior Secured Note Amendment Agreement dated as of December 22, 2019 (as amended, supplemented or otherwise modified from time to time, the “Amendment Agreement”), by an |
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| April 21, 2020 |
Exhibit 10.4 SECURED PROMISSORY NOTE (Negotiable) $8,580,000.00 April 15, 2020 FOR VALUE RECEIVED, PACIFIC AURORA, LLC, a Delaware limited liability company (“Borrower”) hereby irrevocably and unconditionally promises to pay to the order of PACIFIC ETHANOL CENTRAL, LLC, a Delaware limited liability company (“PEC” and collectively with any subsequent holder hereof by assignment, succession or trans |
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| April 21, 2020 |
Exhibit 10.2 EXECUTION COPY CONFIDENTIAL SECOND AMENDMENT TO MEMBERSHIP INTEREST PURCHASE AGREEMENT This SECOND AMENDMENT TO MEMBERSHIP INTEREST PURCHASE AGREEMENT (this “Amendment”), dated as of March 31, 2020, is made and entered into by and among PACIFIC ETHANOL CENTRAL, LLC, a Delaware limited liability company (the “Seller”), PACIFIC AURORA, LLC, a Delaware limited liability company (the “Com |
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| April 21, 2020 |
Partial Release of Collateral Letter dated April 15, 2020 by CoBank, ACB EX-10.7 8 ea120806ex10-7pacific.htm PARTIAL RELEASE OF COLLATERAL LETTER Exhibit 10.7 Execution Version PARTIAL RELEASE OF COLLATERAL LETTER Pacific Ethanol, Inc. 400 Capitol Mall, Suite 2060 Sacramento, CA 95814 Aurora Cooperative Elevator Company 2225 Q Street Aurora, NE 68818 April 15, 2020 Re: That certain Credit Agreement, dated as of December 15, 2016 (as amended, supplemented, or otherwise |
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| April 21, 2020 |
Exhibit 10.3 EXECUTION COPY CONFIDENTIAL THIRD AMENDMENT TO MEMBERSHIP INTEREST PURCHASE AGREEMENT This THIRD AMENDMENT TO MEMBERSHIP INTEREST PURCHASE AGREEMENT (this “Amendment”), dated as of April 15, 2020, is made and entered into by and among PACIFIC ETHANOL CENTRAL, LLC, a Delaware limited liability company (the “Seller”), PACIFIC AURORA, LLC, a Delaware limited liability company (the “Compa |
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| April 21, 2020 |
Exhibit 10.1 EXECUTION COPY CONFIDENTIAL FIRST AMENDMENT TO MEMBERSHIP INTEREST PURCHASE AGREEMENT This FIRST AMENDMENT TO MEMBERSHIP INTEREST PURCHASE AGREEMENT (this “Amendment”), dated as of March 17, 2020, is made and entered into by and among PACIFIC ETHANOL CENTRAL, LLC, a Delaware limited liability company (the “Seller”), PACIFIC AURORA, LLC, a Delaware limited liability company (the “Compa |
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| April 21, 2020 |
EX-10.5 6 ea120806ex10-5pacific.htm SECURED PROMISSORY NOTE (NON- NEGOTIABLE) Exhibit 10.5 SECURED PROMISSORY NOTE (Non- Negotiable) $7,920,000.00 April 15, 2020 FOR VALUE RECEIVED, PACIFIC AURORA, LLC, a Delaware limited liability company (“Borrower”) hereby irrevocably and unconditionally promises to pay to the order of PACIFIC ETHANOL CENTRAL, LLC, a Delaware limited liability company (“PEC” an |
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| April 21, 2020 |
EX-10.6 7 ea120806ex10-6pacific.htm ASSIGNMENT OF NOTES AND DEEDS OF TRUST Exhibit 10.6 Execution Version ASSIGNMENT OF Notes and Deeds of trust THIS ASSIGNMENT OF NOTES AND DEEDS OF TRUST (this “Assignment”) is made and entered into as April 15, 2020, by and among PACIFIC ETHANOL CENTRAL, LLC , a Delaware limited liability company (“PEC”), PACIFIC AURORA, LLC, a Delaware limited liability company |
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| March 30, 2020 |
EX-10.61 3 f10k2019ex10-61pacific.htm AMENDMENT NO. 3 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT DATED NOVEMBER 19, 2019 Exhibit 10.61 |
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| March 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 PACIFIC ETHANO |
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| March 30, 2020 |
Exhibit 4.1 Description of Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 The following is a description of the common stock of Pacific Ethanol, Inc., our only class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended. The description is a summary, does not purport to be complete and is subject to and qualif |
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| March 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| March 26, 2020 |
Exhibit 10.10 Execution Version THIRD AMENDMENT TO SECURITY AGREEMENT THIS THIRD AMENDMENT TO SECURITY AGREEMENT (this “Amendment”) is entered into effective as of March 20, 2020 by and among Pacific Ethanol, Inc., a Delaware corporation (the “Company”), each of the Holders and the New Holders (as defined below), each in its capacity as a Holder and as a Secured Party, Cortland Products Corp. (“Co |
