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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.