0001213900-20-033199 Sample Contracts

REGISTRATION RIGHTS AGREEMENT

Registration Rights Agreement • October 26th, 2020 • Pacific Ethanol, Inc. • Industrial organic chemicals • New York

• Contract Type
  Registration Rights Agreement
• Filed
  October 26th, 2020
• Company
  Pacific Ethanol, Inc.
• Industry
  Industrial organic chemicals
• Jurisdiction
  New York

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 2060, Sacramento, California (the “Company”), and the undersigned buyers (each, a “Buyer,” and collectively, the “Buyers”).

Pre-Funded Warrants to Purchase 3,825,493 Shares of Common Stock PACIFIC ETHANOL, INC. UNDERWRITING AGREEMENT

Underwriting Agreement • October 26th, 2020 • Pacific Ethanol, Inc. • Industrial organic chemicals • New York

• Contract Type
  Underwriting Agreement
• Filed
  October 26th, 2020
• Company
  Pacific Ethanol, Inc.
• Industry
  Industrial organic chemicals
• Jurisdiction
  New York

SECURITIES PURCHASE AGREEMENT

Securities Purchase Agreement • October 26th, 2020 • Pacific Ethanol, Inc. • Industrial organic chemicals • New York

• Contract Type
  Securities Purchase Agreement
• Filed
  October 26th, 2020
• Company
  Pacific Ethanol, Inc.
• Industry
  Industrial organic chemicals
• Jurisdiction
  New York

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, the “Buyers”).

Contract

Security Agreement • October 26th, 2020 • Pacific Ethanol, Inc. • Industrial organic chemicals • New York

• Contract Type
  Security Agreement
• Filed
  October 26th, 2020
• Company
  Pacific Ethanol, Inc.
• Industry
  Industrial organic chemicals
• Jurisdiction
  New York

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 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAILABLE EXEMPTION FROM, OR IN A TRANSACTION NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND IN ACCORDANCE WITH APPLICABLE STATE SECURITIES LAWS. THIS SECURITY AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS SECURITY MAY BE PLEDGED IN CONNECTION WITH A BONA FIDE MARGIN ACCOUNT OR OTHER LOAN SECURED BY SUCH SECURITIES.