SEC Form 4/A · accession 0001012975-17-000191
Alto Ingredients, Inc. · ALTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Candlewood Investment Group, LP
10% Owner
Period of report
Dec 12, 2016
Accepted (ET)
Mar 3, 2017 · 3:38 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 StockF3,F1 | Dec 12, 2016 | S | 1,720,417 | $9.33 | D | 4,063,342 | I | See Footnote |
| Common StockF3,F2 | Dec 12, 2016 | S | 1,016,352 | $9.33 | D | 2,111,561 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The 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.
- F3This 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.