Filing Details
- Accession Number:
- 0001179110-12-013017
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-16 18:19:45
- Reporting Period:
- 2012-08-14
- Filing Date:
- 2012-08-16
- Accepted Time:
- 2012-08-16 18:19:45
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1477032 | Prospect Global Resources Inc. | PGRX | General Bldg Contractors - Residential Bldgs (1520) | 263024783 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1515976 | T. Chad Brownstein | 555 South Barrington Avenue, #216 Los Angeles CA 90049 | Exec. Vice Chairman | Yes | Yes | Yes | No |
1516052 | Buffalo Management Llc | 555 South Barrington Avenue, #216 Los Angeles CA 90049 | No | No | Yes | No | |
1516057 | Quincy Prelude Llc | 555 South Barrington Avenue, #216 Los Angeles CA 90049 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-08-14 | 4,500 | $2.37 | 4,500 | No | 4 | P | Indirect | As custodian for son A |
Common Stock | Acquisiton | 2012-08-15 | 2,300 | $2.59 | 6,800 | No | 4 | P | Indirect | As custodian for son A |
Common Stock | Acquisiton | 2012-08-15 | 500 | $2.68 | 500 | No | 4 | P | Indirect | As custodian for son B |
Common Stock | Acquisiton | 2012-08-16 | 2,800 | $2.76 | 3,300 | No | 4 | P | Indirect | As custodian for son B |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | As custodian for son A |
No | 4 | P | Indirect | As custodian for son A |
No | 4 | P | Indirect | As custodian for son B |
No | 4 | P | Indirect | As custodian for son B |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 2,900,000 | Direct | |
Common Stock | 816,667 | Direct |
Footnotes
- The reporting person undertakes to provide to Prospect Global Resources, Inc, any security holder of Prospect Global Resources, Inc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) (3) (4) and (5) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.24 - $2.49.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.49 - $2.65.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.64 - $2.71.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.69 - $2.92.
- Quincy Prelude LLC is the record owner of this common stock. Chad T. Brownstein, in his capacity as the owner of 100% of the voting interest of this entity, has a pecuniary interest in this common stock.
- Buffalo Management LLC is the record owner of this common stock. Quincy Prelude LLC, in its capacity as the sole member of this entity, and Chad T. Brownstein, in his capacity as the owner of 100% of the voting interest of Quincy Prelude LLC, have a pecuniary interest in this common stock.