Item 5. Other Information
ITEM
5. OTHER INFORMATION.
Not
applicable.
51
ITEM
6. EXHIBITS.
Exhibit
Number
Description
(#)
10.1
Second Amended and Restated Employment Agreement dated August 7, 2020 between Pacific Ethanol, Inc. and Michael D. Kandris (1)
10.2
At Market Issuance Sales Agreement dated as of August 13, 2020 by and between Pacific Ethanol, Inc. and H.C. Wainwright & Co., LLC (2)
31.1
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 (*)
31.2
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 (*)
32.1
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 (*)
101.INS
XBRL
Instance Document (*)
101.SCH
XBRL
Taxonomy Extension Schema (*)
101.CAL
XBRL
Taxonomy Extension Calculation Linkbase (*)
101.DEF
XBRL
Taxonomy Extension Definition Linkbase (*)
101.LAB
XBRL
Taxonomy Extension Label Linkbase (*)
101.PRE
XBRL
Taxonomy Extension Presentation Linkbase (*)
(*) Filed
herewith.
(#) All
of the agreements filed as exhibits to this report 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 August 7, 2020.
(2) Filed
as an exhibit to the Registrant’s Current Report on Form 8-K filed with the Securities
and Exchange Commission on August 13, 2020.
52
SIGNATURES
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.
PACIFIC
ETHANOL, INC.
Dated: November
16, 2020
By:
/S/
BRYON T. MCGREGOR
Bryon
T. McGregor
Chief
Financial Officer
(Principal
Financial and Accounting Officer)
53
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.