PROSPECT GLOBAL RESOURCES INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows, 43 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-10-03: Reporting owner Reiman Scott J.; Form 3; Security Stock Option (right to buy); Transaction Holding.
- 2012-11-29: Reporting owner Archer Devon; Form 4; Security Option Right-to-Buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-08-27: Reporting owner Schatz Conway J.; Form 4; Security Option Right-to-Buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-08-27: Reporting owner Munitz Barry A; Form 4; Security Option Right-to-Buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-10-03 holding as of filing | Reiman Scott J. 10% Owner | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $212.50 exercise price | 2013-10-03 | ||
| 2012-11-29 | Archer Devon Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,700,000 2,000,000 owned after | $2.60 exercise price | 2012-12-03 | |
| 2012-08-27 | Schatz Conway J. Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 140,000 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-27 | Munitz Barry A Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 700,000 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-27 | Swiller J. Ari Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 240,000 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-27 | AVERY PATRICK L Director, Officer (President & CEO) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 900,000 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-27 | Holtzman Marc Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 440,000 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-27 | Archer Devon Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 300,000 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-27 | Buffalo Management LLC | Quincy Prelude LLC | Brownstein Chad T. 10% Owner | 10% Owner | Director, Officer (Exec. Vice Chairman), 10% Owner | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 300,000 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-15 | Wallace Brian W Officer (Chief Operating Officer) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $2.60 exercise price | 2012-08-16 | |
| 2012-07-02 | Archer Devon Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $2.60 exercise price | 2012-07-11 | |
| 2012-07-02 | Munitz Barry A Director | 4/A | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 550,000 owned after | $2.60 exercise price | 2012-07-06 | |
| 2012-07-02 | Schatz Conway J. Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 70,000 owned after | $2.60 exercise price | 2012-07-05 | |
| 2012-07-02 | Holtzman Marc Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 370,000 owned after | $2.60 exercise price | 2012-07-05 | |
| 2012-07-02 | AVERY PATRICK L Director, Officer (President & CEO) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 750,000 owned after | $2.60 exercise price | 2012-07-05 | |
| 2012-07-02 | Bloomfield Jonathan Officer (VP of Corporate Development) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 275,000 owned after | $2.60 exercise price | 2012-07-05 | |
| 2012-07-02 | Swiller J. Ari Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 170,000 owned after | $2.60 exercise price | 2012-07-05 | |
| 2012-07-02 | Brownstein Chad T. Director, 10% Owner | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 200,000 owned after | $2.60 exercise price | 2012-07-05 | |
| 2012-07-02 | Munitz Barry A Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 550,000 owned after | $2.60 exercise price | 2012-07-05 | |
| 2011-12-27 | Brownstein Chad T. Director, 10% Owner | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-27 | Reiman Scott J. Director, 10% Owner | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-27 | Swiller J. Ari Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-27 | Holtzman Marc Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-27 | Munitz Barry A Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-27 | Bloomfield Jonathan Officer (VP of Corporate Development) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-27 | Rich Wayne Officer (Chief Financial Officer) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-27 | AVERY PATRICK L Director, Officer (President & CEO) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $4.25 exercise price | 2011-12-29 | |
| 2011-12-23 | Reiman Scott J. Director, 10% Owner | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-12-23 | AVERY PATRICK L Director, Officer (President & CEO) | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −600,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-12-23 | Rich Wayne Officer (Chief Financial Officer) | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,000,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-12-23 | Bloomfield Jonathan Officer (VP of Corporate Development) | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-12-23 | Munitz Barry A Director | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −400,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-12-23 | Holtzman Marc Director | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −300,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-12-23 | Swiller J. Ari Director | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-12-23 | Brownstein Chad T. Director, 10% Owner | 4 | Option Right-to-buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $4.25 exercise price | 2011-12-28 | |
| 2011-11-29 | Reiman Scott J. Director, 10% Owner | 4 | Option Right-to-Buy Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $4.25 exercise price | 2011-12-02 | |
| 2011-11-29 | AVERY PATRICK L Director, Officer (President & CEO) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $4.25 exercise price | 2011-12-01 | |
| 2011-11-29 | Rich Wayne Officer (Chief Financial Officer) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $4.25 exercise price | 2011-12-01 | |
| 2011-11-29 | Bloomfield Jonathan Officer (VP of Corporate Development) | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $4.25 exercise price | 2011-12-01 | |
| 2011-11-29 | Munitz Barry A Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $4.25 exercise price | 2011-12-01 | |
| 2011-11-29 | Holtzman Marc Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $4.25 exercise price | 2011-12-01 | |
| 2011-11-29 | Swiller J. Ari Director | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.25 exercise price | 2011-12-01 | |
| 2011-11-29 | Brownstein Chad T. Director, 10% Owner | 4 | Option Right-to-Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.25 exercise price | 2011-12-01 |