Filing Details
- Accession Number:
- 0001179110-13-007000
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-04-19 21:21:35
- Reporting Period:
- 2012-08-01
- Filing Date:
- 2013-04-19
- Accepted Time:
- 2013-04-19 21:21:35
- 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 | Disposition | 2013-04-19 | 542,000 | $0.18 | 274,667 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrants (right to buy) | Disposition | 2012-08-01 | 450,000 | $0.00 | 450,000 | $2.60 |
Common Stock | Common Stock Warrants (right to buy) | Disposition | 2013-04-19 | 400,000 | $0.00 | 400,000 | $2.60 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,170,454 | 2012-08-27 | 2017-07-31 | No | 4 | S | Direct |
1,770,454 | 2012-08-27 | 2017-07-31 | No | 4 | S | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 2,900,000 | Direct | |
Common Stock | 7,400 | Indirect | As custodian for son A |
Common Stock | 6,100 | Indirect | As custodian for son B |
Footnotes
- For consulting services rendered.
- 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.
- Additionally, Buffalo Management LLC has granted an option to purchase 500,000 shares to a Prospect Global Resources Inc. shareholder that owns greater than 5% of Prospect Global Resources Inc.'s outstanding common stock for consulting services rendered.
- 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.