SEC Form 4 · accession 0001012975-16-001019
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
Feb 11, 2016
Accepted (ET)
Feb 16, 2016 · 4:05 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,F2 | Feb 11, 2016 | P | 23,232 | $2.9428 | A | 5,784,838 | I | See footnote |
| Common StockF1,F2 | Feb 11, 2016 | P | 3,168 | $2.9428 | A | 900,177 | I | See footnote |
| Common StockF2 | holding | — | — | — | 3,126,184 | I | See footnote | |
| Common StockF2 | holding | — | — | — | 77,293 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 48,153 | I | See footnote | |
| Common StockF3 | 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 $2.885 to $2.99. The price reported above reflects the weighted average sale price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F2The securities are directly held by private investment funds for which (i) Candlewood Investment Group, LP (the "Investment Manager") serves as the investment manager and (ii) Candlewood Special Situations General, LLC (the "Fund GP") serves as the general partner. Candlewood Investment Group General, LLC (the "Manager GP") serves as the general partner of the Investment Manager. Each of the Investment Manager, the Fund GP and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.
- F3The securities are directly held by private investment funds for which the Investment Manager controls the investment manager advising such funds. The Manager GP serves as the general partner of the Investment Manager. Each of the Investment Manager and the Manager GP disclaims pecuniary interest in the reported securities except to the extent of its economic interest.