SEC Form 4 · accession 0001012975-16-000961
Alto Ingredients, Inc. · ALTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Candlewood Investment Group, LP
10% Owner
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 5:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000778164
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F4 | Jan 29, 2016 | P | 18,128 | $3.363 | A | 4,615,914 | I | See footnote |
| Common StockF1,F5 | Jan 29, 2016 | P | 2,472 | $3.363 | A | 740,778 | I | See footnote |
| Common StockF2,F4 | Feb 1, 2016 | P | 170,993 | $3.3444 | A | 4,786,907 | I | See footnote |
| Common StockF2,F5 | Feb 1, 2016 | P | 23,317 | $3.3444 | A | 764,095 | I | See footnote |
| Common StockF3,F4 | Feb 2, 2016 | P | 974,699 | $3.293 | A | 5,761,606 | I | See footnote |
| Common StockF3,F5 | Feb 2, 2016 | P | 132,914 | $3.293 | A | 897,009 | I | See footnote |
| Common StockF5 | holding | — | — | — | 3,126,184 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 77,293 | I | See footnote | |
| Common StockF6 | holding | — | — | — | 48,153 | I | See footnote | |
| Common StockF6 | holding | — | — | — | 192,612 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $3.27 to $3.40. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F2This transaction was executed in multiple trades at prices ranging from $3.29 to $3.44. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F3This transaction was executed in multiple trades at prices ranging from $3.19 to $3.305. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F4The 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 Investment Manager, the Fund GP and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.
- F5The 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 Investment Manager, the Fund GP and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.
- F6The 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 Investment Manager and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.