Item 5. Other Information
ITEM 5. OTHER INFORMATION.
During the three months ended
September 30, 2023, none of our directors or officers (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934, as amended)
informed us of the adoption or termination of a Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (as such terms
are defined in Item 408 of Regulation S-K of the Securities Act of 1933, as amended).
44
ITEM 6. EXHIBITS.
Exhibit
Number
Description
10.1
Second Amended and Restated Employment Agreement dated September 17, 2023 between Bryon T. McGregor and Alto Ingredients, Inc. (#)
10.2
Third Amended and Restated Employment Agreement dated September 18, 2023 between Michael D. Kandris and Alto Ingredients, Inc. (#)
10.3
Second Amended and Restated Employment Agreement dated September 17, 2023 between Robert R. Olander and Alto Ingredients, Inc. (#)
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
Inline XBRL Instance Document (*)
101.SCH
Inline XBRL Taxonomy Extension Schema Document (*)
101.CAL
Inline XBRL Taxonomy Extension Calculation Linkbase Document (*)
101.DEF
Inline XBRL Taxonomy Extension Definition Linkbase Document (*)
101.LAB
Inline XBRL Taxonomy Extension Label Linkbase Document (*)
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase Document (*)
104
Cover Page Interactive Data File (formatted as Inline XBRL with applicable taxonomy extension information contained in Exhibits 101) (*)
(*)
Filed herewith.
(#) Previously filed as an exhibit to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission
on September 20, 2023.
45
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.
ALTO INGREDIENTS, INC.
Dated: November 8, 2023
By:
/s/
ROBERT R. OLANDER
Robert R. Olander
Chief Financial Officer
(Principal Financial and Accounting Officer)
46
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.