What changed in this filing

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Item 5. Other Information

2020-08-13 compared with 2020-05-14 · 52 added, 48 removed, 4 unchanged (96% of the section changed)

OTHER INFORMATION.

Membership Interest Purchase Agreement dated as of February 28, 2020 by and among Pacific Ethanol Central, LLC, Pacific Aurora, LLC and Aurora Cooperative Elevator Company (1)

Amendment No.

2 to Credit Agreement dated as of March 20, 2020 by and among Illinois Corn Processing, LLC, Compeer Financial, PCA and CoBank, ACB (2)

Amendment to Membership Interest Purchase Agreement dated as of April 15, 2020 by and among Pacific Ethanol Central, LLC,

Pacific Aurora, LLC and Aurora Cooperative Elevator Company (1)

Promissory Note (Negotiable) dated April 15, 2020 in the amount of $8,580,000 by Pacific Aurora, LLC in favor of Pacific Ethanol

Central, LLC (1)

Promissory Note (Non-Negotiable) dated April 15, 2020 in the amount of $7,920,000 by Pacific Aurora, LLC in favor of Pacific

Ethanol Central, LLC (1)

of Notes and Deeds of Trust dated April 15, 2020 by and among Pacific Ethanol Central, LLC, Pacific Aurora, LLC and CoBank,

Release of Collateral Letter dated April 15, 2020 by Pacific Ethanol, Inc.

and its Subsidiaries named therein, and CoBank,

Release of Collateral Letter dated April 15, 2020 by Pacific Ethanol, Inc.

and its Subsidiaries named therein, Cortland Products

Corp., and the Noteholders named therein (1)

Note dated April 29, 2020 in the amount of $5,973,138 by Pacific Ethanol, Inc.

in favor of Bank of America, NA (2)

Note dated May 1, 2020 in the amount of $3,886,729 by Pacific Ethanol Pekin, LLC in favor of Bank of America, NA (2)

Agreement dated May 5, 2020 by Pacific Ethanol Pekin, LLC in favor of Cortland Products Corp.

as collateral agent for the

Noteholders identified therein (3)

Amendment No.

8 to Credit Agreement dated as of March 20, 2020 by and among Pacific Ethanol Pekin, LLC, Compeer Financial, PCA and CoBank, ACB (2)

Note Amendment No.

5 dated as of March 20, 2020 by and among Pacific Ethanol, Inc.

and the noteholders named therein (2)

Security Agreement dated March 20, 2020 by Illinois Corn Processing, LLC in favor of Cortland Products Corp.

Security Agreement dated March 20, 2020 by and between Pacific Ethanol Central, LLC and Cortland Products Corp.

Pledge Agreement dated March 20, 2020 by and among Pacific Ethanol Central, LLC, Illinois Corn Processing, LLC and Cortland Products Corp.

Pledge Agreement dated March 20, 2020 by and among Pacific Ethanol Central, LLC, Pacific Ethanol Pekin, LLC and Cortland Products Corp.

Pledge Agreement dated March 20, 2020 by and among Pacific Ethanol Central, LLC, Pacific Aurora, LLC and Cortland Products Corp.

Security Agreement dated March 20, 2020 by and among Pacific Ethanol West, LLC, PE Op Co.

and Cortland Products Corp.

Third Amendment to Security Agreement effective as of March 20, 2020 by and among Pacific Ethanol, Inc., each of the holders and new holders named therein, Cortland Products Corp.

as successor agent and Cortland Capital Market Services LLC as existing collateral agent (2)

Security Agreement effective as of March 20, 2020 by and between Pacific Ethanol, Inc.

and CoBank, ACB (2)

Intercreditor Agreement dated as of March 20, 2020 by and among Cortland Products Corp., CoBank, ACB, Pacific Ethanol, Inc.

and the grantors named therein (2)

Intercreditor Agreement dated as of March 20, 2020 between the Pekin Lenders and the ICP Lenders named therein (2)

Certifications Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (*)

Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C.

Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (*)

XBRL Instance Document (*)

XBRL Taxonomy Extension Schema (*)

XBRL Taxonomy Extension Calculation Linkbase

XBRL Taxonomy Extension Definition Linkbase

XBRL Taxonomy Extension Label Linkbase (*)

XBRL Taxonomy Extension Presentation Linkbase

(*) Filed herewith.

(**) Certain of the agreements filed as exhibits contain representations

and warranties made by the parties thereto.

The assertions embodied in such representations

and warranties are not necessarily assertions of fact, but a mechanism for the parties

to allocate risk.

Accordingly, investors should not rely on the representations and warranties

as characterizations of the actual state of facts or for any other purpose at the time

they were made or otherwise.

(1) Filed as an exhibit to the registrant’s Current Report on Form

8-K filed with the Securities and Exchange Commission on March 5, 2020.

(2) Filed as an exhibit to the registrant’s Current Report on Form8-K

filed with the Securities and Exchange Commission on March 26, 2020.

Pursuant to the requirements

of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned

thereunto duly authorized.

6 dated May 26, 2020 by and among Pacific Ethanol, Inc.

and the Noteholders identified therein (4)

Amendment to Amended and Restated Employment Agreement for Neil M.

Koehler dated May 22, 2020 by and between Pacific Ethanol,

Certifications

Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley

Act of 2002 (*)

Certifications

Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley

Act of 2002 (*)

Certifications

Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley

Act of 2002 (*)

Certification

of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C.

Section 1350, as Adopted Pursuant to Section

906 of the Sarbanes-Oxley Act of 2002 (*)

Instance Document (*)

Taxonomy Extension Schema (*)

Taxonomy Extension Calculation Linkbase (*)

Taxonomy Extension Definition Linkbase (*)

Taxonomy Extension Label Linkbase (*)

Taxonomy Extension Presentation Linkbase (*)

as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities

and Exchange Commission on April 21, 2020.

as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities

and Exchange Commission on May 7, 2020.

as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities

and Exchange Commission on May 11, 2020.

as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities

and Exchange Commission on May 29, 2020.

to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf

by the undersigned thereunto duly authorized.

PACIFIC ETHANOL, INC.

August 13, 2020

Chief Financial Officer

1 unchanged sentence

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information