PROSPECT GLOBAL RESOURCES INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-05-23: Reporting owner Reiman Scott J.; Form 3/A; Security Senior Secured Convertible $2,500,000 Promissory Note; Transaction Holding.
- 2011-12-07: Reporting owner MERKIN RICHARD N; Form 3; Security Convertible Secured Promissory Note; Transaction Holding.
- 2011-11-22: Reporting owner Reiman Scott J.; Form 4/A; Security Senior Secured Convertible $2,500,000 Promissory Note; Transaction C Conversion of derivative security.
- 2011-11-22: Reporting owner Reiman Scott J.; Form 4/A; Security $1,500,000 Convertible Secured Promissory Note; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-05-23 holding as of filing | Reiman Scott J. 10% Owner | 3/A | Senior Secured Convertible $2,500,000 Promissory Note Derivative · Indirect · By Hexagon Investments, LLC | Holding | $3.00 exercise price | 2012-05-23 | ||
| 2011-12-07 holding as of filing | MERKIN RICHARD N 10% Owner | 3 | Convertible Secured Promissory Note Derivative · Direct | Holding | no price filed | 2011-12-07 | ||
| 2011-11-22 | Reiman Scott J. 10% Owner | 4/A | Senior Secured Convertible $2,500,000 Promissory Note Derivative · Indirect · By Hexagon Investments, LLC | C Conversion of derivative security | −881,507 0 owned after | $3.00 | 2012-05-23 | |
| 2011-11-22 | Reiman Scott J. 10% Owner | 4/A | $1,500,000 Convertible Secured Promissory Note Derivative · Indirect · By Hexagon Investments, LLC | C Conversion of derivative security | −399,033 0 owned after | $4.00 | 2012-05-23 | |
| 2011-11-22 | MERKIN RICHARD N 10% Owner | 4 | Convertible Secured Promissory Note Derivative · Direct | C Conversion of derivative security | 0 owned after | no price filed | 2011-12-07 | |
| 2011-09-19 | Reiman Scott J. 10% Owner | 4/A | $1,500,000 Convertible Secured Promissory Note Derivative · Indirect · By Hexagon Investments, LLC | P Open market or private purchase of non-derivative or derivative security | +375,000 375,000 owned after | $4.00 | 2012-05-23 |