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
  1. For consulting services rendered.
  2. 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.
  3. 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.
  4. 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.