PEIX / Alto Ingredients Inc - SEC-Einreichungen, Jahresbericht, Proxy Statement

ALTO INGREDIENTS, INC. DATED AS OF ___________, 20__ SENIOR DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF ________, 20__

Exhibit 4.2 ALTO INGREDIENTS, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SENIOR DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13 Section

COMMON STOCK SEE REVERSE FOR CERTAIN DEFINITIONS. CUSIP 021513 10 6 A LTO I NGREDIENTS , I NC . transferable on the books of the Corporation by the holder hereof in person or by duly authorized attorney upon surrender of this certificate duly endorse

Exhibit 4.1 COMMON STOCK SEE REVERSE FOR CERTAIN DEFINITIONS. CUSIP 021513 10 6 A LTO I NGREDIENTS , I NC . transferable on the books of the Corporation by the holder hereof in person or by duly authorized attorney upon surrender of this certificate duly endorsed . This certificate and the shares represented hereby are subject to the laws of the State of Delaware, and to the Certificate of Incorpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2026 ☐ TRANSITION REPORT P

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2026 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI

As filed with the Securities and Exchange Commission on May 8, 2026

As filed with the Securities and Exchange Commission on May 8, 2026 Registration No.

Security Type

Calculation of Filing Fee Tables S-3 Alto Ingredients, Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Init

ALTO INGREDIENTS, INC. DATED AS OF ___________, 20__ SUBORDINATED DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF ___________, 20__

Exhibit 4.3 ALTO INGREDIENTS, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SUBORDINATED DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13 S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2026 ALTO INGREDIENTS, INC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2026 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num

Alto Ingredients, Inc. Reports First Quarter 2026 Results Q1 2026 Gross Profit of $9.2 Million Increased $11.0 Million Q1 2026 Net Income of $4.0 Million, or $0.05 per Share, Improved $16.0 Million Q1 2026 Adjusted EBITDA of $4.7 Million Improved $9.

Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2026 Results Q1 2026 Gross Profit of $9.2 Million Increased $11.0 Million Q1 2026 Net Income of $4.0 Million, or $0.05 per Share, Improved $16.0 Million Q1 2026 Adjusted EBITDA of $4.7 Million Improved $9.1 Million Compared to Q1 2025 Pekin, Ill., May 6, 2026 – Alto Ingredients, Inc. (NASDAQ: ALTO), a producer and distributor of renewable f

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240.

AMENDMENT NO. 7 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT

Exhibit 10.23 AMENDMENT NO. 7 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NO. 7 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) is entered into as of June 25, 2025, by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, in its capacity as administrative agent (in such capacity, “Agent”) for each member of the Lender Group and the Bank Product Provider (as each s

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 ☐ TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN

AMENDMENT NO. 8 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT

Exhibit 10.24 [Execution] AMENDMENT NO. 8 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NO. 8 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) is entered into as of February 5, 2026, by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, in its capacity as administrative agent (in such capacity, “Agent”) for each member of the Lender Group and the Bank Product Prov

Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2025 Results - Results Improved in All Segments - - Q4 2025 Gross Profit of $15.2 Million Increased $16.6 Million, Q4 2025 Net Income of $21.5 Million, or $0.28 per Share, Improved $63.5 Mill

Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2025 Results - Results Improved in All Segments - - Q4 2025 Gross Profit of $15.2 Million Increased $16.6 Million, Q4 2025 Net Income of $21.5 Million, or $0.28 per Share, Improved $63.5 Million, and Q4 2025 Adjusted EBITDA of $27.9 Million Grew $35.6 Million Compared to Q4 2024 - Pekin, Ill., March 4, 2026 – Alto Ingredients,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2026 ALTO INGREDIENTS, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2026 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2025

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 ☐ TRANSITION REPO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING

Alto Ingredients, Inc. Reports Third Quarter 2025 Results - Reflecting Improvement in All Segments, Gross Profit of $23 Million Increased $18 Million, Net Income of $14 Million, or $0.19 per Share, Improved $17 Million and Adj. EBITDA of $21 Million

Exhibit 99.1 Alto Ingredients, Inc. Reports Third Quarter 2025 Results - Reflecting Improvement in All Segments, Gross Profit of $23 Million Increased $18 Million, Net Income of $14 Million, or $0.19 per Share, Improved $17 Million and Adj. EBITDA of $21 Million Grew $9 Million Compared to Q3 2024 - Pekin, Ill., November 5, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2025

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 ☐ TRANSITION REPORT PU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 ALTO INGREDIENTS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo

Alto Ingredients, Inc. Reports Second Quarter 2025 Results - Western Assets Increased Gross Profit by $5.6 Million, Compared to Q2 2024 -

Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2025 Results - Western Assets Increased Gross Profit by $5.6 Million, Compared to Q2 2024 - Pekin, IL, August 6, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, reported its financial results for the quarter ended June 30, 2025. “In 2025, our

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Em

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2025

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2025

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Employe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 ☐ TRANSITION REPORT P

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 ALTO INGREDIENTS, INC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num

Alto Ingredients, Inc. Reports First Quarter 2025 Results - Beverage-grade Liquid CO2 Processor Acquisition and Corporate Reorganization Deliver Improved Year-over-Year Gross Margin and Adjusted EBITDA -

Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2025 Results - Beverage-grade Liquid CO2 Processor Acquisition and Corporate Reorganization Deliver Improved Year-over-Year Gross Margin and Adjusted EBITDA - Pekin, IL, May 7, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, reported its finan

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2025 ALTO INGREDIENTS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Alto Ingredients, Inc. Enters into Letter Agreement with Bradley L. Radoff and Michael Torok

Exhibit 99.1 Alto Ingredients, Inc. Enters into Letter Agreement with Bradley L. Radoff and Michael Torok Pekin, IL, March 18, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, today announced that it has entered into a letter agreement (the “Letter Agreement”) with Bradley L. Radoff and Michael Torok

Alto Ingredients, Inc. Directors to Not Stand for Reelection

Exhibit 99.2 Alto Ingredients, Inc. Directors to Not Stand for Reelection Pekin, IL, March 18, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, today announced that two long-standing directors, Douglas L. Kieta and Michael D. Kandris, have decided they will not stand for reelection to the Alto Ingredi

Letter Agreement dated March 17, 2025 by and among Alto Ingredients, Inc., Bradley L. Radoff and Michael Torok (**)

Exhibit 10.1 March 17, 2025 Bradley L. Radoff 2727 Kirby Drive, Unit 29L Houston, Texas 77098 Michael Torok 68 Mazzeo Drive Randolph, Massachusetts 02368 Dear Messrs. Radoff and Torok: This letter agreement (this “Agreement”) constitutes the agreement between (i) Alto Ingredients, Inc. (the “Company”) and (ii) Bradley L. Radoff and Michael Torok (together, the “Radoff/Torok Group” and together wit

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN

Second Amendment to Credit Agreement dated November 6, 2024 between the Registrant and OIC Investment Agent, LLC

Exhibit 10.26 SECOND AMENDMENT TO CREDIT AGREEMENT This SECOND AMENDMENT TO CREDIT AGREEMENT (this Amendment ), dated as of November 6 , 2024 (the Second Amendment Effective Date ), by and between Alto Ingredients, Inc . , a Delaware corporation ( Borrower ), and OIC Investment Agent, LLC, a Delaware limited liability company, as Administrative Agent and Collateral Agent, (in such capacities, Admi

Consent and Third Amendment to Credit Agreement dated January 1, 2025 between the Registrant and OIC Investment Agent, LLC

Exhibit 10.27 Execution Version CONSENT AND THIRD AMENDMENT TO CREDIT AGREEMENT This CONSENT AND THIRD AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is dated as of January 1, 2025 (the “Third Amendment Effective Date”), by and between Alto Ingredients, Inc., a Delaware corporation as Borrower (“Borrower”), and OIC Investment Agent, LLC, a Delaware limited liability company as Administrative Age

Policy Statement on Insider Trading and Other Prohibited Trading Activities

Exhibit 19.1 POLICIES AND PROCEDURES DEPARTMENT: CORPORATE SOP# II-033 Title: POLICY STATEMENT ON INSIDER TRADING AND OTHER PROHIBITED TRADING ACTIVITIES Policy: This Policy Statement on Insider Trading and Other Prohibited Trading Activities (the “Policy Statement”) defines the processes for preventing, detecting and managing the occurrence of insider trading and other prohibited trading activiti

Subsidiaries of the Registrant

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Name State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Alto Magic Valley, LLC Delaware Alto Central, LLC Delaware Alto Pekin, LLC Delaware Alto ICP, LLC Delaware Eagle Alcohol Company LLC Missouri Alto Carbo

Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2024 Results - Implemented Cost Savings Expected to Yield Approximately $8 Million Annually - - Integrated Accretive Acquisition of a Beverage-grade Liquid CO2 Processor - - Considering Asset

Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2024 Results - Implemented Cost Savings Expected to Yield Approximately $8 Million Annually - - Integrated Accretive Acquisition of a Beverage-grade Liquid CO2 Processor - - Considering Asset Sales, a Merger or Other Strategic Transactions - Pekin, IL, March 5, 2025 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer a

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N

Transactions in the Securities of the Issuer During the Past 60 Days

EX-2 3 ex2to13d0907606902242025.htm TRANSACTIONS IN SECURITIES Exhibit 2 Transactions in the Securities of the Issuer During the Past 60 Days Nature of the Transaction Amount of Securities Purchased/(Sold) Price ($) Date of Purchase/Sale THE RADOFF FAMILY FOUNDATION Purchase of Common Stock 150,000 1.4968 02/11/2025 Purchase of Common Stock 100,000 1.4672 02/12/2025 Purchase of Common Stock 75,000

Directors and Officers of The Radoff Family Foundation

EX-1 2 ex1to13d0907606902242025.htm DIRECTORS AND OFFICERS Exhibit 1 Directors and Officers of The Radoff Family Foundation Name and Position Principal Occupation Principal Business Address Citizenship Bradley L. Radoff Director* Rose Radoff Director and Secretary Director and Secretary 2727 Kirby Drive, Unit 29L Houston, Texas 77098 United States Russell Radoff Director Medical Doctor Medical Cli

GROUP AGREEMENT

EX-99.1 4 ex991to13d0907606902242025.htm GROUP AGREEMENT, DATED FEBRUARY 24, 2025 Exhibit 99.1 GROUP AGREEMENT This Agreement (this “Agreement”) is made and entered into as of February 24, 2025 (the “Effective Date”) by and among (i) The Radoff Family Foundation and Bradley L. Radoff (collectively, “Radoff”) and (ii) JEC II Associates, LLC and Michael Torok (collectively, “JEC” and together with R

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2024

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

CO2 Transportation and Sequestration Agreement dated November 4, 2024 between Alto Pekin, LLC and Vault Dragon CCS Holdings LP

Exhibit 10.1 CERTAIN INFORMATION CONTAINED IN THIS CO2 TRANSPORTATION AND SEQUESTRATION AGREEMENT HAS, PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K, BEEN OMITTED BY MEANS OF REDACTING A PORTION OF THE TEXT AND REPLACING IT WITH [***] BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE. Execution Version CO2 transportation and sequ

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 ☐ TRANSITION REPO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING

Alto Ingredients, Inc. Reports Third Quarter 2024 Results - Enters CO2 Transportation and Sequestration Agreement with Vault 44.01 -

Exhibit 99.1 Alto Ingredients, Inc. Reports Third Quarter 2024 Results - Enters CO2 Transportation and Sequestration Agreement with Vault 44.01 - Pekin, IL, November 6, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols, renewable fuels and essential ingredients, reported its financial results for the quarter ended September 30, 2024. In a separa

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2024 ALTO INGREDIENTS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2024 ALTO INGREDIENTS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Alto Ingredients, Inc. Reports Second Quarter 2024 Results

Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2024 Results Pekin, IL, August 6, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a producer and distributor of renewable fuel, essential ingredients and specialty alcohols, reported its financial results for the quarter ended June 30, 2024. Bryon McGregor, President and CEO of Alto Ingredients, said, “Our Pekin Campus has been producing alc

As filed with the Securities and Exchange Commission on June 20, 2024

As filed with the Securities and Exchange Commission on June 20, 2024 Registration No.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi

Filing Fee Table

Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Alto Ingredients, Inc.

2016 Stock Incentive Plan, as amended#

Exhibit 4.11 ALTO INGREDIENTS, INC. 2016 STOCK INCENTIVE PLAN (As Amended Through June 20, 2024) ARTICLE ONE GENERAL PROVISIONS I. Purpose of the Plan. This 2016 Stock Incentive Plan is intended to promote the interests of Alto Ingredients, Inc. by providing eligible persons in the Corporation’s service with the opportunity to acquire a proprietary or economic interest, or otherwise increase their

Form of Performance Share Agreement under 2016 Stock Incentive Plan (*)

Exhibit 10.3 ALTO INGREDIENTS, INC. PERFORMANCE SHARE AGREEMENT THIS PERFORMANCE SHARE AGREEMENT (this “Agreement”) dated and effective as of (the “Grant Date”), by and between Alto Ingredients, Inc., a Delaware corporation (the “Company”) and «FirstName» «LastName» (“Employee”) is entered into as follows: A. WHEREAS, the Company has established the Alto Ingredients, Inc. 2016 Stock Incentive Plan

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 ☐ TRANSITION REPORT P

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI

Amendment to Third Amended and Restated Employment Agreement dated April 1, 2024 between Michael D. Kandris and Alto Ingredients, Inc. (*)

Exhibit 10.1 Amendment to THIRD AMENDED AND RESTATED Employment Agreement for michael d. kandris This AMENDMENT TO third amended and restated Employment AGREEMENT for michael d. kandris (this “Amendment”) by and between Michael D. Kandris (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of April 1, 2024. RECITA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2024

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Employer

Alto Ingredients, Inc. Reports First Quarter 2024 Results – Improved Q1 2024 Gross Profit by $0.8 Million, Net Loss by $1.4 Million and Adjusted EBITDA by $3.4 Million over Q1 2023 –

Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2024 Results – Improved Q1 2024 Gross Profit by $0.8 Million, Net Loss by $1.4 Million and Adjusted EBITDA by $3.4 Million over Q1 2023 – Pekin, IL, May 6, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a producer and distributor of renewable fuel and essential ingredients and the largest producer of specialty alcohols in the U.S., reported

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2024

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2024

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS E

Second Amended and Restated Employment Agreement dated April 1, 2024 between the Registrant and Todd E. Benton#

Exhibit 10.1 Alto Ingredients, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for TODD E. BENTON This Second Amended and Restated Employment Agreement (“Agreement”) by and between Todd E. Benton (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of April 1, 2024. Whereas, the Company desires to employ Exec

First Amendment to Credit Agreement dated November 6, 2023 between the Registrant and OIC Investment Agent, LLC

Exhibit 10.24 FIRST AMENDMENT TO CREDIT AGREEMENT This FIRST AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is dated as of November 6, 2023 (the “Amendment Effective Date”), by and between “Alto Ingredients, Inc., a Delaware corporation as Borrower (“Borrower”), and OIC Investment Agent, LLC, a Delaware limited liability company as Administrative Agent and Collateral Agent (in such capacities, “

Alto Ingredients, Inc. Dodd-Frank Clawback Policy

Exhibit 97.1 ALTO INGREDIENTS, INC. DODD-FRANK CLAWBACK POLICY The Compensation Committee (the “Compensation Committee”) of the Board of Directors (the “Board”) and the full Board of Alto Ingredients, Inc., a Delaware corporation (the “Company”) have adopted the following Dodd-Frank Clawback Policy (this “Policy”) on September 6, 2023, effective as of October 2, 2023 (the “Effective Date”). 1. Pur

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN

Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2023 Results - Delivered 2023 Gross Profit of $15.7 Million, Versus Gross Loss of $27.6 Million in 2022 – - Improved 2023 Net Loss by $13.6 Million and Adjusted EBITDA by $26.5 Million over 2

Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Year-end 2023 Results - Delivered 2023 Gross Profit of $15.7 Million, Versus Gross Loss of $27.6 Million in 2022 – - Improved 2023 Net Loss by $13.6 Million and Adjusted EBITDA by $26.5 Million over 2022 – - Signed Letter of Intent with Vault 44.01 for CO2 Storage - Pekin, IL, March 11, 2024 – Alto Ingredients, Inc. (NASDAQ: ALTO), a p

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2024 ALTO INGREDIENTS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission (IRS Employer of Incorp

Amended and Restated Bylaws

Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF ALTO INGREDIENTS, INC. (a Delaware corporation) Preamble These amended and restated Bylaws (the “Bylaws”) are subject to, and governed by, the General Corporation Law of the State of Delaware (the “Delaware General Corporation Law”) and the Certificate of Incorporation (the “Certificate of Incorporation”), as it may be further amended from time to time, o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 29, 2024

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 29, 2024 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi

ALTO / Alto Ingredients, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Alto Ingredients Inc Title of Class of Securities: Common Stock CUSIP Number: 021513106 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2023 ALTO INGREDIENTS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

Alto Ingredients, Inc. Reports Third Quarter 2023 Results

Exhibit 99.1 Alto Ingredients, Inc. Reports Third Quarter 2023 Results Pekin, IL, November 6, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients, reported its financial results for the quarter ended September 30, 2023. “Our transition to provide high margin, differentiated specialty alcohols and essential ingredients in

Second Amended and Restated Employment Agreement dated September 17, 2023 between the Registrant and Robert R. Olander#

Exhibit 10.3 Alto Ingredients, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for ROBERT R. OLANDER This Second Amended and Restated Employment Agreement (“Agreement”) by and between Robert R. Olander (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2023

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission F

Second Amended and Restated Executive Employment Agreement dated September 17, 2023 between the Registrant and Bryon T. McGregor#

Exhibit 10.1 Alto Ingredients, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for BRYON T. McGREGOR This Second Amended and Restated Employment Agreement (“Agreement”) by and between Bryon T. McGregor (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Co

Third Amended and Restated Employment Agreement dated September 18, 2023 between Michael D. Kandris and Alto Ingredients, Inc. (#)

Exhibit 10.2 Alto Ingredients, Inc. THIRD AMENDED AND RESTATED EMPLOYMENT AGREEMENT for MICHAEL D. KANDRIS This Third Amended and Restated Employment Agreement (“Agreement”) by and between Michael D. Kandris (“Executive”) and Alto Ingredients, Inc. (formerly, Pacific Ethanol, Inc.) (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE

Alto Ingredients, Inc. Reports Second Quarter 2023 Results - Delivered net income, positive Adjusted EBITDA and positive operating cash flow, while making significant capital expenditures to support business transformation - - Expects Positive Adjust

Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2023 Results - Delivered net income, positive Adjusted EBITDA and positive operating cash flow, while making significant capital expenditures to support business transformation - - Expects Positive Adjusted EBITDA in Q3 2023 - Pekin, IL, August 7, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 ALTO INGREDIENTS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS E

Alto Ingredients Announces Executive Leadership Changes - Bryon T. McGregor Appointed President and Chief Executive Officer – - Michael D. Kandris Retires as President and Chief Executive Officer and Continues as Director and Interim Chief Operating

Exhibit 99.2 Alto Ingredients Announces Executive Leadership Changes - Bryon T. McGregor Appointed President and Chief Executive Officer – - Michael D. Kandris Retires as President and Chief Executive Officer and Continues as Director and Interim Chief Operating Officer – - Robert R. Olander Appointed Chief Financial Officer - Pekin, IL, August 7, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a le

ALTO / Alto Ingredients Inc / BlackRock Inc. Passive Investment

us0215131063070723.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 2) Alto Ingredients, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 021513106 - (CUSIP Number) June 30, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to

ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Illinois 61554

ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Illinois 61554 June 29, 2023 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Ben Richie, Staff Attorney Re: Alto Ingredients, Inc. Registration Statement on Form S-3 (File No. 333-272884) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the

LETTER

United States securities and exchange commission logo June 29, 2023 Michael D. Kandris Chief Executive Officer Alto Ingredients, Inc. 1300 South Second Street Pekin, Illinois 61554 Re: Alto Ingredients, Inc. Registration Statement on Form S-3 Filed June 23, 2023 File No. 333-272884 Dear Michael D. Kandris: This is to advise you that we have not reviewed and will not review your registration statem

Form of Senior Debt Indenture

Exhibit 4.11 ALTO INGREDIENTS, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SENIOR DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13 Sectio

As filed with the Securities and Exchange Commission on June 23, 2023

As filed with the Securities and Exchange Commission on June 23, 2023 Registration No.

Specimen Common Stock Certificate

Exhibit 4.10

Form of Subordinated Debt Indenture

Exhibit 4.12 ALTO INGREDIENTS, INC. AND [TRUSTEE] Trustee INDENTURE DATED AS OF , 20 SUBORDINATED DEBT SECURITIES ALTO INGREDIENTS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939, AS AMENDED, AND INDENTURE, DATED AS OF , 20 TRUST INDENTURE ACT SECTION INDENTURE SECTION Section 310(a)(1) 6.9 (a)(2) 6.9 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 6.9 (b) 6.8 Section 311 6.13

Calculation of Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Alto Ingredients, Inc.

Filing Fee Table

Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Alto Ingredients, Inc.

As filed with the Securities and Exchange Commission on June 22, 2023

As filed with the Securities and Exchange Commission on June 22, 2023 Registration No.

2016 Stock Incentive Plan, as amended#

Exhibit 4.11 ALTO INGREDIENTS, INC. 2016 STOCK INCENTIVE PLAN (Adopted March 25, 2016, and ratified by Stockholders June 16, 2016; Amended March 29, 2018, and ratified by Stockholders June 14, 2018; Amended August 6, 2019, and ratified by Stockholders November 7, 2019; Amended September 2, 2020, and ratified by Stockholders November 18, 2020; Amended March 30, 2022, and ratified by Stockholders Ju

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT P

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI

Alto Ingredients, Inc. Reports First Quarter 2023 Results - Generated Sequential, Monthly Performance Improvements in 2023 - - Resumed Operations at Magic Valley, Idaho Plant in April 2023 - - Expects Positive Adjusted EBITDA in Q2 2023 -

Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2023 Results - Generated Sequential, Monthly Performance Improvements in 2023 - - Resumed Operations at Magic Valley, Idaho Plant in April 2023 - - Expects Positive Adjusted EBITDA in Q2 2023 - Pekin, IL, May 8, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients,

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1)

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN

Subsidiaries of the Registrant

Exhibit 21.1 Subsidiary Name State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Alto Magic Valley, LLC Delaware Alto Central, LLC Delaware Alto Canton, LLC Delaware Alto Pekin, LLC Delaware Alto ICP, LLC Delaware Eagle Alcohol Company LLC Missouri

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2023 ALTO INGREDIENTS, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2023 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N

Alto Ingredients, Inc. Reports Fourth Quarter and Full Year 2022 Results - Growth, Revenue Diversification and Efficiency Initiatives to Expand Annualized EBITDA by Over $65 Million by the End of 2025 and Over $125 Million by the End of 2026 -

Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Full Year 2022 Results - Growth, Revenue Diversification and Efficiency Initiatives to Expand Annualized EBITDA by Over $65 Million by the End of 2025 and Over $125 Million by the End of 2026 - Pekin, IL, March 9, 2023 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingred

ALTO / Alto Ingredients Inc / COOPER CREEK PARTNERS MANAGEMENT LLC - ALTO 13G Passive Investment

SC 13G/A 1 ALTO13gA.txt ALTO 13G | OMB APPROVAL | || |OMB NUMBER: | UNITED STATES |EXPIRES: | SECURITIES AND EXCHANGE COMMISSION | February 13, 2023 | Washington, D.C. 20549 |ESTIMATED AVERAGE | |BURDEN HOURS | |PER RESPONSE ...11 | SCHEDULE 13G | Under the Securities Exchange Act of 1934 (Amendment No. 17)* ALTO INGREDIENTS, INC. (ALTO) - (Name of Issuer) Common Stock - (Title of Class of Securit

ALTO / Alto Ingredients Inc / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment

SC 13G 1 tv0220-altoingredientsinc.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Alto Ingredients Inc. Title of Class of Securities: Common Stock CUSIP Number: 021513106 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant

ALTO / Alto Ingredients Inc / BlackRock Inc. Passive Investment

SC 13G/A 1 us0215131063013123.txt us0215131063013123.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 1) Alto Ingredients, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 021513106 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate

ALTO / Alto Ingredients Inc / STATE STREET CORP Passive Investment

SC 13G/A 1 AltoIngredientsInc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 EXIT FILING ALTO INGREDIENTS INC (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 021513106 (CUSIP NUMBER) 12/31/2022 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSU

ALTO INGREDIENTS, INC. 1,282,051 shares of Common Stock

Filed Pursuant to Rule 424(b)(3) Registration No. 333-268583 PROSPECTUS ALTO INGREDIENTS, INC. 1,282,051 shares of Common Stock This prospectus relates to the proposed resale, from time to time, of up to 1,282,051 shares of our common stock, $0.001 par value per share, or common stock, by the selling stockholders herein. On November 7, 2022, we entered into a credit agreement, or the Credit Agreem

ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Ill 61554

CORRESP 1 filename1.htm ALTO INGREDIENTS, INC. 1300 South Second Street Pekin, Ill 61554 December 8, 2022 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Jane Park, Staff Attorney Re: Alto Ingredients, Inc. Registration Statement on Form S-3 (File No. 333-268583) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1

LETTER

United States securities and exchange commission logo December 6, 2022 Michael Kandris President and Chief Executive Officer Alto Ingredients, Inc.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) ALTO INGREDIENTS, Inc.

As filed with the Securities and Exchange Commission on November 29, 2022

As filed with the Securities and Exchange Commission on November 29, 2022 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 ALTO INGREDIENTS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

Credit Agreement dated November 7, 2022 by and among the Registrant, the subsidiary guarantors signatory thereto, Orion Energy Credit Opportunities Fund III, L.P., Orion Energy Credit Opportunities Fund III GPFA PV, L.P., Orion Energy Credit Opportunities Fund III GPFA, L.P., Orion Energy Credit Opportunities Fund III PV, L.P., and OIC Investment Agent, LLC

Exhibit 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE AND CONFIDENTIAL Execution Version CREDIT AGREEMENT dated as of November 7, 2022 among ALTO INGREDIENTS, INC., as Borrower, THE SUBSIDIARY GUARANTORS SIGNATORY HERETO, THE LENDERS FROM TIME TO TIME

Registration Rights Agreement dated November 7, 2022 by and among Alto Ingredients, Inc., Orion Energy Credit Opportunities Fund III, L.P., Orion Energy Credit Opportunities Fund III GPFA PV, L.P., Orion Energy Credit Opportunities Fund III GPFA, L.P. and Orion Energy Credit Opportunities Fund III PV, L.P.

Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this ?Agreement?) is made and entered into as of November 7, 2022, by and among Alto Ingredients, Inc., a Delaware corporation (the ?Company?), and the Holders (as defined herein) set forth on the signature page hereto and the Persons who become party to this Agreement from time to time upon the execution of a Joinder (

Amendment No. 6 to Second Amended and Restated Credit Agreement dated November 7, 2022 by and among Kinergy Marketing LLC, Alto Nutrients, LLC and Wells Fargo Bank, National Association

Exhibit 10.2 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE AND CONFIDENTIAL AMENDMENT NO. 6 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NO. 6 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this ?Amendment?) is entered into as of Novemb

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING

Alto Ingredients, Inc. Reports Third Quarter 2022 Results

Exhibit 99.1 Alto Ingredients, Inc. Reports Third Quarter 2022 Results ● Grew Net Sales to $336.9 Million, Up 10% from Q3 2021 ● Secured Up to $125 Million in Available Debt for Large Capital-Intensive Programs Sacramento, CA, November 7, 2022 – Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients, reported its financial results

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 ALTO INGREDIENTS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

ALTO / Alto Ingredients Inc / STATE STREET CORP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 EXIT FILING ALTO INGREDIENTS INC (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 021513106 (CUSIP NUMBER) 09/30/2022 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ☐ TRANSITION REPORT PU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE

Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo

Alto Ingredients, Inc. Reports Second Quarter 2022 Results

Exhibit 99.1 Alto Ingredients, Inc. Reports Second Quarter 2022 Results ? Grew Net Sales to $362.2 Million, Up 21% from Q2 2021 ? Generated Net Income of $21.5 Million, $0.29 per Diluted Share, Up from $8.0 Million, $0.11 per Diluted Share in Q2 2021 ? Increased Adjusted EBITDA to $29.9 Million, Up from $17.0 Million in Q2 2021 Sacramento, CA, August 8, 2022 ? Alto Ingredients, Inc. (NASDAQ: ALTO)

ALTO / Alto Ingredients Inc / STATE STREET CORP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDED FILING ALTO INGREDIENTS INC (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 021513106 (CUSIP NUMBER) 06/30/2022 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS F

Filing Fee Table

Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Alto Ingredients, Inc.

As filed with the Securities and Exchange Commission on July 6, 2022

As filed with the Securities and Exchange Commission on July 6, 2022 Registration No.

2016 Stock Incentive Plan, as amended#

Exhibit 4.11 ALTO INGREDIENTS, INC. 2016 STOCK INCENTIVE PLAN (Adopted March 25, 2016, and ratified by Stockholders June 16, 2016; Amended March 29, 2018, and ratified by Stockholders June 14, 2018; Amended August 6, 2019, and ratified by Stockholders November 7, 2019; Amended September 2, 2020, and ratified by Stockholders November 18, 2020; Amended March 30, 2022, and ratified by Stockholders Ju

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1)

DEFR14A 1 ea161758-defr14aaltoingred.htm DEFINITIVE REVISED PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a

Consulting Agreement dated May 28, 2022 between the Registrant and Christopher W. Wright

Exhibit 10.1 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (this ?Agreement?) is made and entered into as of May 28th, 2022, by and between Alto Ingredients, Inc., a Delaware corporation (the ?Company?), and Christopher W. Wright, an individual (the ?Consultant?). R E C I T A L S A. Consultant has retired from his former position of Vice President and General Counsel. B. The Company desires to re

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Nu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File Num

Alto Ingredients, Inc. Reports First Quarter 2022 Results

Exhibit 99.1 Alto Ingredients, Inc. Reports First Quarter 2022 Results ? Increased Net Sales 41% to $308 Million vs. Q1 2021 ? Integrated Acquisition of Specialty Alcohol Distributor, Eagle Alcohol ? Launched Quality and ESG Initiatives Sacramento, CA, May 9, 2022 ? Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer and distributor of specialty alcohols and essential ingredients, reported i

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A 1 ea159266-defa14aalto.htm DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Prox

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240.

Waiver, Consent and Amendment No. 4 to Second Amended and Restated Credit Agreement dated March 8, 2021 by and among Kinergy Marketing LLC, Alto Nutrients, LLC and Wells Fargo Bank, National Association

Exhibit 10.20 WAIVER, CONSENT, AND AMENDMENT NO. 4 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT AND AMENDMENT TO OTHER AGREEMENTS This WAIVER, CONSENT, AND AMENDMENT NO. 4 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT AND AMENDMENT TO OTHER AGREEMENTS (this ?Amendment?) is entered into as of March 8, 2021, by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, in its capacity as administrative

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ☐ TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN

Subsidiaries of the Registrant

EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Name State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Specialty Products, LLC Delaware Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Alto Magic Valley, LLC Delaware Alto Central, LLC Delaware Alto Canton, LLC Delaware Alto Pekin, LLC Delaware Alto

Employment Agreement dated February 1, 2022 between the Registrant and Auste M. Graham#

Exhibit 10.9 Alto Ingredients, Inc. EMPLOYMENT AGREEMENT for AUSTE M. GRAHAM This Employment Agreement (?Agreement?) by and between Auste M. Graham (?Executive?) and Alto Ingredients, Inc. (the ?Company?) (collectively, the ?Parties?) is effective as of the last date signed by the Parties. Whereas, the Company desires to employ Executive to provide personal services to the Company, and wishes to p

Asset Purchase Agreement dated November 5, 2021 by and among the Registrant, Pacific Ethanol Stockton LLC and Pelican Acquisition LLC

Exhibit 2.3 EXECUTION COPY ASSET PURCHASE AGREEMENT dated as of November 5, 2021 by and among PACIFIC ETHANOL STOCKTON LLC as Seller, PELICAN ACQUISITION LLC as Purchaser, and for purposes of Article V and Article XI, ALTO INGREDIENTS, INC. as Seller Parent TABLE OF CONTENTS ARTICLE I DEFINITIONS Section 1.1 Definitions 1 Section 1.2 Interpretation 11 ARTICLE II PURCHASE AND SALE Section 2.1 Purch

Waiver, Consent, and Amendment No. 5 to Second Amended and Restated Credit Agreement dated June 10, 2021 by and among Kinergy Marketing LLC, Alto Nutrients, LLC and Wells Fargo Bank, National Association

Exhibit 10.21 WAIVER, CONSENT, AND AMENDMENT NO. 5 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This WAIVER, CONSENT, AND AMENDMENT NO. 5 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this ?Amendment?) is entered into as of June 10, 2021, by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, in its capacity as administrative agent (in such capacity, ?Agent?) for each member of the Lender Grou

Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2022 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Alto Ingredients, Inc. Reports Fourth Quarter and Full Year 2021 Results

Exhibit 99.1 Alto Ingredients, Inc. Reports Fourth Quarter and Full Year 2021 Results ? Increased Net Sales 128% to $385 Million and Gross Profit 209% to $42 Million in Q4 2021 vs. Q4 2020 ? Improved Net Income Available to Common Stockholders to $35 Million from Net Loss of $21 Million and Adjusted EBITDA 168% to $43 Million in Q4 2021 vs. Q4 2020 ? Grew Net Sales 35% to $1.2 Billion and Gross Pr

ALTO / Alto Ingredients Inc / COOPER CREEK PARTNERS MANAGEMENT LLC - ALTO2213G Passive Investment

| OMB APPROVAL | || |OMB NUMBER: | UNITED STATES |EXPIRES: | SECURITIES AND EXCHANGE COMMISSION | February 14, 2022 | Washington, D.

ALTO / Alto Ingredients Inc / RENAISSANCE TECHNOLOGIES LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ALTO INGREDIENTS, INC. - (Name of Issuer) Common Stock, $0.001 par value - (Title of Class of Securities) 021513106 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru

ALTO / Alto Ingredients Inc / STATE STREET CORP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDED FILING ALTO INGREDIENTS INC (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 021513106 (CUSIP NUMBER) 12/31/2021 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS F

ALTO / Alto Ingredients Inc / BlackRock Inc. Passive Investment

us0215131063020422.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: ) Alto Ingredients, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 021513106 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

ALTO / Alto Ingredients Inc / STATE STREET CORP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDED FILING ALTO INGREDIENTS INC (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 021513106 (CUSIP NUMBER) 11/30/2021 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ☐ TRANSITION REPO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO ING

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

Alto Ingredients Reports Third Quarter 2021 Results

Exhibit 99.1 Alto Ingredients Reports Third Quarter 2021 Results ? Third Quarter Net Loss of $3.5 million and Positive Adjusted EBITDA of $3.0 million ? Subsequent to Quarter-End, the Company Sold its Stockton, CA Facility ? Company is Now Term Debt Free Sacramento, CA, November 9, 2021 ? Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer of specialty alcohols and essential ingredients, rep

First Amendment to Asset Purchase Agreement dated July 30, 2021 by and among the Registrant, Pacific Ethanol Madera LLC and Seaboard Energy California, LLC

Exhibit 10.2 FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT This First Amendment to Asset Purchase Agreement (this ?Amendment?) is made and entered into this 30th day of July, 2021 (the ?Execution Date?), by and between SEABOARD ENERGY CALIFORNIA, LLC, a Delaware limited liability company (?Purchaser?), PACIFIC ETHANOL MADERA LLC, a Delaware limited liability company (?Seller?), and ALTO INGREDIENTS,

Asset Purchase Agreement dated April 23, 2021 by and among the Registrant, Pacific Ethanol Madera LLC and Seaboard Energy California, LLC

Exhibit 10.1 EXECUTION COPY ASSET PURCHASE AGREEMENT Dated as of April 23, 2021 By and Between Seaboard Energy California, LLC as Purchaser, Pacific Ethanol Madera LLC as Seller and, for purposes of Article IV and Article IX, Alto Ingredients, Inc. as Seller Parent TABLE OF CONTENTS Page Article I. PURCHASE AND SALE OF THE PURCHASED ASSETS; ASSUMPTION OF ASSUMED LIABILITIES 1 1.1 Purchase and Sale

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ☐ TRANSITION REPORT PU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDIE

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Alto Ingredients Reports Second Quarter 2021 Results

Exhibit 99.1 Alto Ingredients Reports Second Quarter 2021 Results ? Second Quarter Net Income of $8.1 million, or $0.11 per share ? Second Quarter Adjusted EBITDA of $17.0 million Sacramento, CA, August 3, 2021 ? Alto Ingredients, Inc. (NASDAQ: ALTO), a leading producer of specialty alcohols and essential ingredients, reported its financial results for the second quarter ended June 30, 2021. ?In t

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File N

Certificate of Amendment to Certificate of Incorporation dated January 12, 2021

Exhibit 3.8 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr

Certificate of Designations, Powers, Preferences and Rights of the Series B Cumulative Convertible Preferred Stock

Exhibit 3.3 CERTIFICATE OF DESIGNATIONS, POWERS, PREFERENCES AND RIGHTS OF THE SERIES B CUMULATIVE CONVERTIBLE PREFERRED STOCK OF PACIFIC ETHANOL, INC. Pursuant to Section 151 of the Delaware General Corporation Law Pacific Ethanol, Inc. (the ?Corporation?), organized and existing under the laws of the State of Delaware, does, by its Chief Financial Officer and under its corporate seal, hereby cer

Certificate of Incorporation

Exhibit 3.1 State of Delaware Secretary of State Division of Corporations Delivered 06:27 PM 02/28/2005 Filed 06:27 PM 02/28/2005 SRV 050169353 - 3877538 FILE CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC., A DELAWARE CORPORATION FIRST: The name of the corporation is: PACIFIC ETHANOL, INC. SECOND: The address of the corporation's registered office in the State of Delaware is Corporation Tru

Certificate of Amendment to Certificate of Incorporation dated May 14, 2013

Exhibit 3.6 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr

Certificate of Designations, Powers, Preferences and Rights of the Series A Cumulative Redeemable Convertible Preferred Stock

Exhibit 3.2 CERTIFICATE OF DESIGNATIONS, POWERS, PREFERENCES AND RIGHTS OF THE SERIES A CUMULATIVE REDEEMABLE CONVERTIBLE PREFERRED STOCK OF PACIFIC ETHANOL, INC. PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW Pacific Ethanol, Inc. (the "CORPORATION"), organized and existing under the laws of the State of Delaware, does, by its Chief Operating Officer and under its corporate seal,

Certificate of Amendment to Certificate of Incorporation dated June 8, 2011

Exhibit 3.5 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr

Certificate of Amendment to Certificate of Incorporation dated June 3, 2010

Exhibit 3.4 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 ☐ TRANSITION REPORT P

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 ALTO INGREDI

Second Amended and Restated Bylaws

Exhibit 3.9 SECOND AMENDED AND RESTATED BYLAWS OF ALTO INGREDIENTS, INC. (a Delaware corporation) Preamble These second amended and restated Bylaws (the ?Bylaws?) are subject to, and governed by, the General Corporation Law of the State of Delaware (the ?Delaware General Corporation Law?) and the Certificate of Incorporation (the ?Certificate of Incorporation?), as it may be further amended from t

Certificate of Amendment to Certificate of Incorporation dated July 1, 2015

Exhibit 3.7 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation?s Certificate of Incorporation was filed with the Secr

Alto Ingredients Reports First Quarter 2021 Results

EX-99.1 2 ea140702ex99-1altoingre.htm PRESS RELEASE DATED MAY 12, 2021 Exhibit 99.1 Alto Ingredients Reports First Quarter 2021 Results ● First Quarter Net Income of $4.4 million, or $0.06 per share ● First Quarter Adjusted EBITDA of $13.6 million ● Further optimized fuel-grade ethanol production footprint with announced sale of Madera, CA production facility Sacramento, CA, May 12, 2021 – Alto In

Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Employe

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission F

- DEFINITIVE ADDITIONAL MATERIALS

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240.

- DEFINITIVE PROXY STATEMENT

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material under ? 240.

SC 13G/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDED FILING Alto Ingredients Inc (NAME OF ISSUER) Common Stock (TITLE OF CLASS OF SECURITIES) 021513106 (CUSIP NUMBER) 03/31/2021 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS F

Series A Warrant to Purchase Common Stock dated October 28, 2020 for 8,900,493 shares by and between the Registrant and CVI Investments, Inc.

Exhibit 10.85 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS

Subsidiaries of the Registrant

EX-21.1 4 f10k2020ex21-1altoingred.htm SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Name* State or Jurisdiction of Incorporation or Organization Kinergy Marketing LLC Oregon Alto Nutrients, LLC California Alto Specialty Products, LLC Delaware Alto Op Co. Delaware Alto West, LLC Delaware Alto Columbia, LLC Delaware Pacific Ethanol Madera LLC Delaware Alto Ma

Registration Rights Agreement dated October 28, 2020 by and between the Registrant and CVI Investments, Inc.

EX-10.86 3 f10k2020ex10-86altoingred.htm REGISTRATION RIGHTS AGREEMENT DATED OCTOBER 28, 2020 BY AND BETWEEN THE REGISTRANT AND CVI INVESTMENTS, INC Exhibit 10.86 Execution Version REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of October 28, 2020, is by and among Pacific Ethanol, Inc., a Delaware corporation, with offices located at 400 Capitol Mall,

Annual Report - ANNUAL REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-21467 ALTO INGREDIEN

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo

Alto Ingredients Reports Fourth Quarter and Full Year 2020 Results

EX-99.1 2 ea137342ex99-1altoingred.htm PRESS RELEASE DATED MARCH 10, 2021 Exhibit 99.1 Alto Ingredients Reports Fourth Quarter and Full Year 2020 Results ● Full year 2020 net loss of $16.4 million,which included a $24.4 million impairment charge ● Full year 2020 Adjusted EBITDA of $67.4 million ● Total debt reduced by approximately $146 million Sacramento, CA, March 10, 2021 – Alto Ingredients, In

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* Alto

CUSIP No: 021513106 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2. (Amendment No. 1)* Alto Ingredients, Inc. (formerly Pacific Ethanol, Inc.) (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of S

SC 13G/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Alto Ingredients, Inc. - (Name of Issuer) Common Stock, $0.001 par value - (Title of Class of Securities) 69423U305 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru

SC 13G

SC 13G 1 PacificEthanolInc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* (Name of Issuer) PACIFIC ETHANOL, INC. (Title of Class of Securities) Common stock (CUSIP Number) 69423U305 (Date of Event Which Requires Filing of this Statement) December 31, 2020 Check the appropriate box to designate the

Other Events - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of (Commission File Number) (IRS

Second Amended and Restated Bylaws

EX-3.2 3 ea133228ex3-2altoingre.htm SECOND AMENDED AND RESTATED BYLAWS Exhibit 3.2 SECOND AMENDED AND RESTATED BYLAWS OF ALTO INGREDIENTS, INC. (a Delaware corporation) Preamble These second amended and restated Bylaws (the “Bylaws”) are subject to, and governed by, the General Corporation Law of the State of Delaware (the “Delaware General Corporation Law”) and the Certificate of Incorporation (t

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2021 ALTO INGREDIENTS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of (Commission File Number) (IRS

Certificate of Amendment to Certificate of Incorporation effective January 12, 2021

Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF PACIFIC ETHANOL, INC. a Delaware corporation PACIFIC ETHANOL, INC. a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is PACIFIC ETHANOL, INC. 2. That the Corporation’s Certificate of Incorporation was filed with the Secr

Fourth Amended and Restated Revolving Term Note dated December 18, 2020 by Pacific Ethanol Pekin, LLC in favor of Compeer Financial, PCA

Exhibit 10.2 FOURTH AMENDED AND RESTATED REVOLVING TERM NOTE $20,580,000 Greenwood Village, Colorado December 18, 2020 FOR VALUE RECEIVED, PACIFIC ETHANOL PEKIN, LLC, a limited liability company organized and existing under the laws of Delaware (the “Company”), hereby promises to pay to the order of COMPEER FINANCIAL, PCA, successor by merger to 1st Farm Credit Services, PCA (which, together with

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission Fil

First Amendment to Guaranty dated as of December 18, 2020 by Pacific Ethanol Pekin, LLC in favor of Compeer Financial, PCA and CoBank, ACB

EX-10.3 4 ea132198ex10-3pacific.htm FIRST AMENDMENT TO GUARANTY DATED AS OF DECEMBER 18, 2020 BY PACIFIC ETHANOL PEKIN, LLC IN FAVOR OF COMPEER FINANCIAL, PCA AND COBANK, ACB Exhibit 10.3 FIRST AMENDMENT TO GUARANTY This First Amendment to Guaranty (this “Amendment”) is made as of December 18, 2020 by and among PACIFIC ETHANOL PEKIN, LLC, a limited liability company organized and existing under th

First Amendment to Assignment of Notes and Deeds of Trust dated as of December 18, 2020 by and between Pacific Ethanol Central, LLC and CoBank, ACB

EX-10.11 12 ea132198ex10-11pacific.htm FIRST AMENDMENT TO ASSIGNMENT OF NOTES AND DEEDS OF TRUST DATED AS OF DECEMBER 18, 2020 BY AND BETWEEN PACIFIC ETHANOL CENTRAL, LLC AND COBANK, ACB Exhibit 10.11 FIRST AMENDMENT TO ASSIGNMENT OF NOTES AND DEEDS OF TRUST This First Amendment to Assignment of Notes and Deeds of Trust (this “Amendment”) is made as of December 18, 2020 by and among PACIFIC ETHANO

Intercompany Revolving Demand Note dated December 18, 2020 by Pacific Ethanol Pekin, LLC in favor of Illinois Corn Processing, LLC (*)

EX-10.4 5 ea132198ex10-4pacific.htm INTERCOMPANY REVOLVING DEMAND NOTE DATED DECEMBER 18, 2020 BY PACIFIC ETHANOL PEKIN, LLC IN FAVOR OF ILLINOIS CORN PROCESSING, LLC Exhibit 10.4 INTERCOMPANY Revolving DEMAND NOTE December 18, 2020 FOR VALUE RECEIVED, each of the undersigned, to the extent a borrower (each, in such capacity, a “Maker”) from time to time from any other entity listed on the signatu

Amendment No. 3 to Credit Agreement and Waiver dated as of December 18, 2020 by and among Illinois Corn Processing, LLC, Compeer Financial, PCA and CoBank, ACB

EX-10.5 6 ea132198ex10-5pacific.htm AMENDMENT NO. 3 TO CREDIT AGREEMENT AND WAIVER DATED AS OF DECEMBER 18, 2020 BY AND AMONG ILLINOIS CORN PROCESSING, LLC, COMPEER FINANCIAL, PCA AND COBANK, ACB Exhibit 10.5 AMENDMENT NO. 3 TO CREDIT AGREEMENT AND WAIVER THIS AMENDMENT NO. 3 TO CREDIT AGREEMENT AND WAIVER, dated as of December 18, 2020 (this “Agreement”), is entered into by and between ILLINOIS C

Amendment No. 9 to Credit Agreement and Waiver dated as of December 18, 2020 by and among Pacific Ethanol Pekin, LLC, Compeer Financial, PCA and CoBank, ACB

Exhibit 10.1 AMENDMENT NO. 9 TO CREDIT AGREEMENT AND WAIVER THIS AMENDMENT NO. 9 TO CREDIT AGREEMENT AND WAIVER, dated as of December 18, 2020 (this “Agreement”), is entered into by and between PACIFIC ETHANOL PEKIN, LLC, a limited liability company organized and existing under the laws of Delaware (“Company”), COMPEER FINANCIAL, PCA, a federally-chartered instrumentality of the United States, suc

First Amendment to Guaranty dated as of December 18, 2020 by Illinois Corn Processing, LLC in favor of Compeer Financial, PCA and CoBank, ACB

EX-10.7 8 ea132198ex10-7pacific.htm FIRST AMENDMENT TO GUARANTY DATED AS OF DECEMBER 18, 2020 BY ILLINOIS CORN PROCESSING, LLC IN FAVOR OF COMPEER FINANCIAL, PCA AND COBANK, ACB Exhibit 10.7 FIRST AMENDMENT TO GUARANTY This First Amendment to Guaranty (this “Amendment”) is made as of December 18, 2020 by and among ILLINOIS CORN PROCESSING, LLC, a limited liability company organized and existing un

Intercompany Revolving Demand Note dated December 18, 2020 by Illinois Corn Processing, LLC in favor of Pacific Ethanol Pekin, LLC (*)

Exhibit 10.8 INTERCOMPANY Revolving DEMAND NOTE December 18, 2020 FOR VALUE RECEIVED, each of the undersigned, to the extent a borrower (each, in such capacity, a “Maker”) from time to time from any other entity listed on the signature pages hereto as holder (each, in such capacity, a “Holder”) hereby unconditionally promises to pay to the order of such Holder, ON DEMAND, to such place as the hold

Second Amendment to Security Agreement dated as of December 18, 2020 by and between Pacific Ethanol Central, LLC and CoBank, ACB

Exhibit 10.9 SECOND AMENDMENT TO SECURITY AGREEMENT This Second Amendment to Security Agreement (this “Amendment”) is made as of December 18, 2020 by and among PACIFIC ETHANOL CENTRAL, LLC, a limited liability company organized under the laws of Delaware (“Grantor”), and COBANK, ACB, a federally-chartered instrumentality of the United States, as Agent (together with its successors and assigns, “Se

Second Amended and Restated Revolving Term Note dated December 18, 2020 by Illinois Corn Processing, LLC in favor of Compeer Financial, PCA

EX-10.6 7 ea132198ex10-6pacific.htm SECOND AMENDED AND RESTATED REVOLVING TERM NOTE DATED DECEMBER 18, 2020 BY ILLINOIS CORN PROCESSING, LLC IN FAVOR OF COMPEER FINANCIAL, PCA Exhibit 10.6 SECOND AMENDED AND RESTATED REVOLVING TERM NOTE $9,420,000 Greenwood Village, Colorado December 18, 2020 FOR VALUE RECEIVED, ILLINOIS CORN PROCESSING, LLC, a limited liability company organized and existing unde

First Amendment to Intercreditor Agreement dated as of December 18, 2020 by and among the Pekin Lenders and the ICP Lenders named therein

Exhibit 10.10 FIRST AMENDMENT TO INTERCREDITOR AGREEMENT This First Amendment to Intercreditor Agreement (this “Amendment”) is made as of December 18, 2020 by and among the Pekin Lenders and ICP Lenders (each as defined below). WHEREAS, PACIFIC ETHANOL PEKIN, LLC, a Delaware limited liability company (“Pekin”), COMPEER FINANCIAL, PCA, a federally-chartered instrumentality of the United States, suc

PACIFIC ETHANOL, INC. 8,900,493 shares of Common Stock

Filed Pursuant to Rule 424(b)(3) Registration No. 333-250821 PROSPECTUS PACIFIC ETHANOL, INC. 8,900,493 shares of Common Stock This prospectus relates to the proposed resale, from time to time, by the selling stockholder named in this prospectus of an aggregate of up to 8,900,493 shares of our common stock, $0.001 par value per share, or common stock, issuable upon exercise of our outstanding Seri

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PACIFIC ETHANOL, INC. 400 Capitol Mall, Suite 2060 Sacramento, CA 95814 November 25, 2020 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Alan Campbell Re: Pacific Ethanol, Inc. Registration Statement on Form S-3 (File No. 333-250821) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the “1933 Ac

LETTER

United States securities and exchange commission logo November 24, 2020 Michael D.

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United States securities and exchange commission logo November 24, 2020 Michael D.

- REGISTRATION STATEMENT

As filed with the Securities and Exchange Commission on November 20, 2020 Registration No.

- REGISTRATION STATEMENT

As filed with the Securities and Exchange Commission on November 18, 2020 Registration No.

2016 Stock Incentive Plan, as amended#

EX-4.10 2 ea130099ex4-10pacific.htm 2016 STOCK INCENTIVE PLAN (AS AMENDED THROUGH NOVEMBER 18, 2020) Exhibit 4.10 PACIFIC ETHANOL, INC. 2016 STOCK INCENTIVE PLAN (Adopted March 25, 2016, and ratified by Stockholders June 16, 2016; Amended March 29, 2018, and ratified by Stockholders June 14, 2018; Amended August 6, 2019, and ratified by Stockholders November 7, 2019; Amended September 2, 2020, and

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emp

Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 PACIFIC

Real Estate Purchase and Sale Agreement dated November 6, 2020 by and between Pacific Ethanol Magic Valley, LLC and Liberty Basin, LLC (*)

EX-10.1 2 ea129508ex10-1pacific.htm REAL ESTATE PURCHASE AND SALE AGREEMENT DATED NOVEMBER 6, 2020 BY AND BETWEEN PACIFIC ETHANOL MAGIC VALLEY, LLC AND LIBERTY BASIN, LLC Exhibit 10.1 REAL ESTATE PURCHASE AND SALE AGREEMENT between Pacific Ethanol Magic Valley, LLC, a Delaware limited liability company (“Seller”), and Liberty Basin, LLC, an Idaho limited liability company, or its successors, nomin

Results of Operations and Financial Condition, Financial Statements and Exhibits - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Empl

Pacific Ethanol Reports Third Quarter 2020 Results

EX-99.1 2 ea129572ex99-1pacific.htm PRESS RELEASE DATED AUGUST 11, 2020 Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Reports Third Quarter 2020 Results ● Net income of $14.9 million and

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Pacific Ethanol Announces Closing of $75 Million Equity Offerings

EX-99.1 2 ea129068ex99-1pacificetha.htm PRESS RELEASE DATED OCTOBER 28, 2020 Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Announces Closing of $75 Million Equity Offerings Sacramento, C

PEIX / Pacific Ethanol, Inc. / CVI Investments, Inc. - SC 13G Passive Investment

CUSIP No: 69423U305 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Pacific Ethanol, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 69423U305 (CUSIP Number)

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Unregistered Sales of Equity Securities, Regulation FD Disclosure, Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Underwriting Agreement by and among Pacific Ethanol, Inc., Guggenheim Securities, LLC, Craig-Hallum Capital Group LLC and H.C. Wainwright & Co., LLC dated as of October 26, 2020 (*)

Exhibit 1.1 Execution Version 5,075,000 Shares of Common Stock, par value $0.001 Pre-Funded Warrants to Purchase 3,825,493 Shares of Common Stock PACIFIC ETHANOL, INC. UNDERWRITING AGREEMENT October 26, 2020 GUGGENHEIM SECURITIES, LLC As Representative of the several Underwriters set forth in Schedule C hereto c/o Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 Dear Sirs: 1.

Pacific Ethanol, Inc. Specialty Alcohols and Essential Ingredients INVESTOR PRESENTATION Fall 2020 Disclaimer 2 Statements and information contained in this communication that refer to or include Pacific Ethanol’s estimated or anticipated future resu

Exhibit 99.2 Pacific Ethanol, Inc. Specialty Alcohols and Essential Ingredients INVESTOR PRESENTATION Fall 2020 Disclaimer 2 Statements and information contained in this communication that refer to or include Pacific Ethanol’s estimated or anticipated future results or other non - historical expressions of fact are forward - looking statements that reflect Pacific Ethanol’s current perspective of

Form of Series A Warrant

Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

Pacific Ethanol Announces Strategic Realignment to Focus on Specialty Alcohols and Essential Ingredients, Intent to Change Corporate Name, Preliminary Third Quarter 2020 Results and Pricing of $75 Million Equity Offering

Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Announces Strategic Realignment to Focus on Specialty Alcohols and Essential Ingredients, Intent to Change Corporate Name, Preliminary Third

PACIFIC ETHANOL, INC. 5,075,000 shares of Common Stock Pre-funded Warrants to Purchase Up to 3,825,493 Shares of Common Stock 3,825,493 Shares of Common Stock Underlying the Pre-funded Warrants

424B5 1 ea128868-424b5pacificethan.htm PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-238939 PROSPECTUS SUPPLEMENT (to Prospectus dated July 1, 2020) PACIFIC ETHANOL, INC. 5,075,000 shares of Common Stock Pre-funded Warrants to Purchase Up to 3,825,493 Shares of Common Stock 3,825,493 Shares of Common Stock Underlying the Pre-funded Warrants We are offering 5

Securities Purchase Agreement dated October 26, 2020 by and between Pacific Ethanol, Inc. and the investor party thereto

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of October 26, 2020, is by and among Pacific Ethanol, Inc., a Delaware corporation with offices located at 400 Capitol Mall, Suite 2060, Sacramento, California (the “Company”), and each of the investors listed on the Schedule of Buyers attached hereto (individually, a “Buyer” and collectively,

Form of Registration Rights Agreement to be entered into by and between Pacific Ethanol, Inc. and the investor party thereto

EX-10.2 7 ea128724ex10-2pacific.htm FORM OF REGISTRATION RIGHTS AGREEMENT TO BE ENTERED INTO BY AND BETWEEN PACIFIC ETHANOL, INC. AND THE INVESTOR PARTY THERETO Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of October , 2020, is by and among Pacific Ethanol, Inc., a Delaware corporation, with offices located at 400 Capitol Mall, Suite 20

Form of Pre-Funded Warrant (*)

Exhibit 4.1 THE NUMBER OF SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT MAY BE LESS THAN THE AMOUNTS SET FORTH ON THE FACE HEREOF PURSUANT TO SECTION 1(a) OF THIS WARRANT. PACIFIC ETHANOL, INC. Series B Prepaid Warrant To Purchase Common Stock Warrant No.: B-1 Date of Issuance: October , 2020 (“Issuance Date”) PACIFIC ETHANOL, INC., a Delaware corporation (the “Company”), hereby ce

Termination of a Material Definitive Agreement - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

PACIFIC ETHANOL, INC.

424B5 1 ea128826-424b5pacific.htm PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-238939 PROSPECTUS SUPPLEMENT (to Prospectus dated July 1, 2020) PACIFIC ETHANOL, INC. This prospectus supplement amends and supplements the information in our shelf registration statement on Form S-3 (File No. 333-238939), or the registration statement, of which the prospectus su

PEIX / Pacific Ethanol, Inc. / BlackRock Inc. Passive Investment

us69423u3059100820.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 2) PACIFIC ETHANOL INC - (Name of Issuer) Common Stock - (Title of Class of Securities) 69423U305 - (CUSIP Number) September 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Em

Form 14A

DEF 14A 1 ea127335-def14apacificethan.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Pr

Form 14A

DEFA14A 1 ea127334-defa14apacific.htm DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive P

PACIFIC ETHANOL, INC. Up to $30,000,000 of Common Stock

Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-238939 PROSPECTUS SUPPLEMENT (to Prospectus dated July 1, 2020) PACIFIC ETHANOL, INC. Up to $30,000,000 of Common Stock We have entered into an At Market Issuance Sales Agreement, or sales agreement, with H.C. Wainwright & Co., LLC, or Wainwright, dated August 13, 2020, relating to the sale of shares of our common stock offered by thi

Quarterly Report - QUARTERLY REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-21467 PACIFIC ETHAN

At Market Issuance Sales Agreement dated as of August 13, 2020 by and between Pacific Ethanol, Inc. and H.C. Wainwright & Co., LLC (*)

Exhibit 10.1 PACIFIC ETHANOL, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement August 13, 2020 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: Pacific Ethanol, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (“HCW”) as follows: 1. Issuance and Sale of Shares.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction (Commission File Number) (IRS Emplo

Pacific Ethanol Reports Second Quarter 2020 Results

EX-99.1 2 ea125382ex99-1pacific.htm PRESS RELEASE DATED AUGUST 11, 2020 Exhibit 99.1 Company IR Contact: IR Agency Contact: Media Contact: Pacific Ethanol, Inc. Moriah Shilton Paul Koehler 916-403-2755 LHA Pacific Ethanol, Inc. [email protected] 415-433-3777 916-403-2790 [email protected] Pacific Ethanol Reports Second Quarter 2020 Results ● Net income of $14.6 million an

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-21467 41-2170618 (State or Other Jurisdiction of Incorporation) (Commission File

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-21467 (Commission File Number) 41-2

Second Amended and Restated Employment Agreement dated July 26, 2018 between the Registrant and Michael D. Kandris#

Exhibit 10.1 Pacific Ethanol, Inc. SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT for MICHAEL D. KANDRIS This Second Amended and Restated Employment Agreement (“Agreement”) by and between Michael D. Kandris (“Executive”) and Pacific Ethanol, Inc. (the “Company”) (collectively, the “Parties”) is effective as of the last date signed by the Parties. Whereas, the Company desires to employ Executive

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2020 PACIFIC ETHANOL, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-21467 (Commission File Number) 41-2

Form 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240.

Form 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under § 240.

- PRELIMINARY PROXY STATEMENT

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material under § 240.

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PACIFIC ETHANOL, INC. 400 Capitol Mall, Suite 2060 Sacramento, CA 95814 July 1, 2020 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Attention: Timothy Buchmiller, Staff Attorney Re: Pacific Ethanol, Inc. Registration Statement on Form S-3 (File No. 333-238939) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amend

- AMENDMENT NO. 1 TO REGISTRATION STATEMENT

S-3/A 1 ea123312-s3a1pacificethan.htm AMENDMENT NO. 1 TO REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on June 25, 2020 Registration No. 333-238939 U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PACIFIC ETHANOL, INC. (Exact name of registrant as specified in its charte

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Troutman Sanders LLP 5 Park Plaza, Suite 1400 Irvine, CA 92614-2545 troutman.com Larry A. Cerutti 949.622.2710 [email protected] June 25, 2020 BY EDGAR AND FEDEX United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Tim Buchmiller and Joseph McCann Re: Pacific Ethanol, Inc. Registration Stat