organization · Reporting owner
Candlewood Special Situations General, LLC
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Alto Ingredients, Inc.
Report date March 15, 2017 · Filed March 17, 2017
Jointly reported with Candlewood Investment Group, LP, Candlewood Investment Group General, LLC, Candlewood Special Situations Master Fund, Ltd., Lau Michael Jung Awn, Koenig David Erwin, DeSantis Philip Frank
Section 16 reporting ended · disclosed 2017-03-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,893,470 |
Reported balance
After 2017-03-15 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2017-03-15 · Sale · Disposed 93,724 · Balance 3,893,470 F6: The transactions were executed in multiple trades at prices ranging from $6.70 to $7.05. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 57,402 |
Reported balance
After 2017-03-15 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2017-03-15 · Sale · Disposed 1,382 · Balance 57,402 F6: The transactions were executed in multiple trades at prices ranging from $6.70 to $7.05. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,647,102 |
Reported balance
After 2017-03-15 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2017-03-15 · Sale · Disposed 246,368 · Balance 3,647,102 F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 53,770 |
Reported balance
After 2017-03-15 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2017-03-15 · Sale · Disposed 3,632 · Balance 53,770 F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,512,940 |
Reported balance
After 2017-03-16 transaction · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · 2017-03-16 · Sale · Disposed 134,162 · Balance 3,512,940 F7: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.85. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 51,792 |
Reported balance
After 2017-03-16 transaction · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · 2017-03-16 · Sale · Disposed 1,978 · Balance 51,792 F7: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.85. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,266,572 |
Reported balance
After 2017-03-16 transaction · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · 2017-03-16 · Sale · Disposed 246,368 · Balance 3,266,572 F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 48,160 |
Reported balance
After 2017-03-16 transaction · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · 2017-03-16 · Sale · Disposed 3,632 · Balance 48,160 F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,178,860 |
Reported balance
After 2017-03-17 transaction · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · 2017-03-17 · Sale · Disposed 87,712 · Balance 3,178,860 F8: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.78. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 46,867 |
Reported balance
After 2017-03-17 transaction · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · 2017-03-17 · Sale · Disposed 1,293 · Balance 46,867 F8: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.78. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,833,945 |
Reported balance
After 2017-03-17 transaction · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · 2017-03-17 · Sale · Disposed 344,915 · Balance 2,833,945 F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 41,782 |
Reported balance
After 2017-03-17 transaction · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · 2017-03-17 · Sale · Disposed 5,085 · Balance 41,782 F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,587,577 |
Reported balance
After 2017-03-17 transaction · row 13
Holding and transaction disclosures are not merged.
1 source rowRow 13 · 2017-03-17 · Sale · Disposed 246,368 · Balance 2,587,577 F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 38,150 |
Reported balance
After 2017-03-17 transaction · row 14
Holding and transaction disclosures are not merged.
1 source rowRow 14 · 2017-03-17 · Sale · Disposed 3,632 · Balance 38,150 F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 900,177 |
Reported balance
Holding disclosure · report date 2017-03-15 · row 15
Holding and transaction disclosures are not merged.
1 source rowRow 15 · Balance 900,177 F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 77,292 |
Reported balance
Holding disclosure · report date 2017-03-15 · row 16
Holding and transaction disclosures are not merged.
1 source rowRow 16 · Balance 77,292 F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 7,284 |
Reported balance
Holding disclosure · report date 2017-03-15 · row 17
Holding and transaction disclosures are not merged.
1 source rowRow 17 · Balance 7,284 F3: The securities are directly held by Michael J. Lau. No other Reporting Person beneficially owns these securities. |
| Common StockSEC Table I · non-derivative | Direct | 2,742 |
Reported balance
Holding disclosure · report date 2017-03-15 · row 18
Holding and transaction disclosures are not merged.
1 source rowRow 18 · Balance 2,742 F4: The securities are directly held by David E. Koenig. No other Reporting Person beneficially owns these securities. |
| Common StockSEC Table I · non-derivative | Direct | 4,207 |
Reported balance
Holding disclosure · report date 2017-03-15 · row 19
Holding and transaction disclosures are not merged.
1 source rowRow 19 · Balance 4,207 F5: The securities are directly held by Philip F. DeSantis. No other Reporting Person beneficially owns these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest.
F2: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest.
F3: The securities are directly held by Michael J. Lau. No other Reporting Person beneficially owns these securities.
F4: The securities are directly held by David E. Koenig. No other Reporting Person beneficially owns these securities.
F5: The securities are directly held by Philip F. DeSantis. No other Reporting Person beneficially owns these securities.
F6: The transactions were executed in multiple trades at prices ranging from $6.70 to $7.05. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F7: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.85. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F8: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.78. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 17, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 3,632 | $6.70 | $24,334.40 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 14 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 38,150 F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 246,368 | $6.70 | $1,650,665.60 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 13 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,587,577 F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 5,085 | $6.65 | $33,815.25 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 12 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 41,782 F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 344,915 | $6.65 | $2,293,684.75 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 11 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,833,945 F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 1,293 | $6.74 | $8,708.48 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 10 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 46,867 F8 · price: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.78. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 87,712 | $6.74 | $590,749.09 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 9 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,178,860 F8 · price: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.78. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 3,632 | $6.70 | $24,334.40 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 8 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 48,160 F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 246,368 | $6.70 | $1,650,665.60 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 7 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,266,572 F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 1,978 | $6.72 | $13,296.71 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 6 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 51,792 F7 · price: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.85. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 134,162 | $6.72 | $901,877.21 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 5 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,512,940 F7 · price: The transactions were executed in multiple trades at prices ranging from $6.70 to $6.85. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 3,632 | $6.70 | $24,334.40 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 4 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 53,770 F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 246,368 | $6.70 | $1,650,665.60 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 3 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,647,102 F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 1,382 | $6.76 | $9,343.98 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 2 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 57,402 F6 · price: The transactions were executed in multiple trades at prices ranging from $6.70 to $7.05. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 21:43 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 93,724 | $6.76 | $633,686.71 |
DisclosureSEC source: 0001012975-17-000230 · edgar.xml · nonDerivative · entry 1 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Lau Michael Jung Awn · CIK 0001700228 · 10% owner Koenig David Erwin · CIK 0001700201 · 10% owner DeSantis Philip Frank · CIK 0001700055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,893,470 F6 · price: The transactions were executed in multiple trades at prices ranging from $6.70 to $7.05. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Messrs. Lau, Koenig and DeSantis are managing partners of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 22:11 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | OtherNon-Voting Common Stock · Derivative | 28,844 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000193 · edgar.xml · derivative · entry 9 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 28,844 shares Expires not disclosed F5 · derivative.exercise_price: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F1 · kind: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F1 · price: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F5 · derivative.exercise_date: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F5 · derivative.expiration_date: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 22:11 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | OtherNon-Voting Common Stock · Derivative | 115,376 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000193 · edgar.xml · derivative · entry 8 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 115,376 shares Expires not disclosed F5 · derivative.exercise_price: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F1 · kind: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F1 · price: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F5 · derivative.exercise_date: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F5 · derivative.expiration_date: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 22:11 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | OtherNon-Voting Common Stock · Derivative | 1,312,160 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000193 · edgar.xml · derivative · entry 7 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 38,417 Underlying: Common Stock · 1,312,160 shares Expires not disclosed F5 · derivative.exercise_price: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F1 · kind: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F1 · price: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F5 · derivative.exercise_date: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F5 · derivative.expiration_date: The Non-Voting Common Stock are convertible on a one-for-one basis into Common Stock. However, the holder cannot convert the securities if it and any of its affiliates would, after such conversion, beneficially own greater than 9.99% of the Common Stock. The beneficial ownership of the Common Stock by the holder and its affiliates currently exceeds 9.99%, and accordingly, it cannot currently convert any of the Non-Voting Common Stock. The right to convert Non-Voting Common Stock into Common Stock does not expire. F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 22:11 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | OtherCommon Stock | 29,734 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000193 · edgar.xml · nonDerivative · entry 3 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F1 · price: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 22:11 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | OtherCommon Stock | 118,935 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000193 · edgar.xml · nonDerivative · entry 2 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F1 · price: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 22:11 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | OtherCommon Stock | 2,007,792 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000193 · edgar.xml · nonDerivative · entry 1 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 58,784 F1 · kind: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F1 · price: On March 1, 2017, three private investment funds for which Candlewood Investment Group, LP serves as investment manager (the "Investment Manager") each distributed the Issuer's securities to its investors as part of a pro rata distribution. F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 773 | $10.33 | $7,988.57 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 8 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 29,734 F4 · price: The transactions were executed in multiple trades at prices ranging from $10.05 to $10.75. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 3,094 | $10.33 | $31,974.94 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 7 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 118,935 F4 · price: The transactions were executed in multiple trades at prices ranging from $10.05 to $10.75. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 44,985 | $10.33 | $464,897.48 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 6 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,056,549 F4 · price: The transactions were executed in multiple trades at prices ranging from $10.05 to $10.75. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 76,148 | $10.33 | $786,951.51 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 5 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,970,221 F4 · price: The transactions were executed in multiple trades at prices ranging from $10.05 to $10.75. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 17,646 | $9.33 | $164,637.18 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 4 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 30,507 F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 70,585 | $9.33 | $658,558.05 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 3 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 122,029 F3 · ownership.nature: The securities are directly held by a private investment fund for which the Investment Manager controls the investment manager advising such fund. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 1,026,379 | $9.33 | $9,576,116.07 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 2 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,101,534 F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 15:03 UTC | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 1,737,390 | $9.33 | $16,209,848.70 |
DisclosureSEC source: 0001012975-16-001623 · edgar.xml · nonDerivative · entry 1 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,046,369 F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Mar 3, 2017 20:38 UTC Amendment | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 1,016,352 | $9.33 | $9,482,564.16 |
DisclosureSEC source: 0001012975-17-000191 · edgar.xml · nonDerivative · entry 2 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,111,561 F3 · shares: This amendment is being filed to correct the amount of shares sold. As a result of a clerical error in the total number of shares reported, the original Form 4 inadvertently reported 1,737,390 (instead of 1,720,417) and 1,026,379 (instead of 1,016,352) shares sold by the Special Situations Fund and a private investment fund as described in footnote 2 (the "Private Fund"), respectively. After giving effect to all transactions on December 12, 2016, the Special Situations Fund and the Private Fund beneficially owned 3,987,194 and 2,066,576 shares, respectively. F3 · balance_after: This amendment is being filed to correct the amount of shares sold. As a result of a clerical error in the total number of shares reported, the original Form 4 inadvertently reported 1,737,390 (instead of 1,720,417) and 1,026,379 (instead of 1,016,352) shares sold by the Special Situations Fund and a private investment fund as described in footnote 2 (the "Private Fund"), respectively. After giving effect to all transactions on December 12, 2016, the Special Situations Fund and the Private Fund beneficially owned 3,987,194 and 2,066,576 shares, respectively. F2 · ownership.nature: The securities are directly held by a private investment fund for which (i) the Investment Manager serves as the investment manager and (ii) the Fund GP serves as the general partner. The Manager GP serves as the general partner of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
| December 12, 2016 Filed Mar 3, 2017 20:38 UTC Amendment | Alto Ingredients, Inc. PEIX · Entity 5923 | SaleCommon Stock | 1,720,417 | $9.33 | $16,051,490.61 |
DisclosureSEC source: 0001012975-17-000191 · edgar.xml · nonDerivative · entry 1 Candlewood Investment Group, LP · CIK 0001531741 · 10% owner Candlewood Special Situations General, LLC · CIK 0001663659 · 10% owner Candlewood Investment Group General, LLC · CIK 0001663660 · 10% owner Candlewood Special Situations Master Fund, Ltd. · CIK 0001663661 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,063,342 F3 · shares: This amendment is being filed to correct the amount of shares sold. As a result of a clerical error in the total number of shares reported, the original Form 4 inadvertently reported 1,737,390 (instead of 1,720,417) and 1,026,379 (instead of 1,016,352) shares sold by the Special Situations Fund and a private investment fund as described in footnote 2 (the "Private Fund"), respectively. After giving effect to all transactions on December 12, 2016, the Special Situations Fund and the Private Fund beneficially owned 3,987,194 and 2,066,576 shares, respectively. F3 · balance_after: This amendment is being filed to correct the amount of shares sold. As a result of a clerical error in the total number of shares reported, the original Form 4 inadvertently reported 1,737,390 (instead of 1,720,417) and 1,026,379 (instead of 1,016,352) shares sold by the Special Situations Fund and a private investment fund as described in footnote 2 (the "Private Fund"), respectively. After giving effect to all transactions on December 12, 2016, the Special Situations Fund and the Private Fund beneficially owned 3,987,194 and 2,066,576 shares, respectively. F1 · ownership.nature: The securities are directly held by Candlewood Special Situations Master Fund, Ltd. (the "Special Situations Fund"). Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager to the Special Situations Fund, and Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner of the Special Situations Fund. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Reporting Persons, other than the Special Situations Fund, disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.