PROSPECT GLOBAL RESOURCES INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 40 rows, 40 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 Common Stock Warrants; Transaction Holding.
- 2013-10-03: Reporting owner Reiman Scott J.; Form 3; Security Common Stock Warrants; Transaction Holding.
- 2013-10-03: Reporting owner Very Hungry LLC; Form 4; Security Common Stock Warrant; Transaction Holding.
- 2013-08-30: Reporting owner Very Hungry LLC; Form 4; Security Common Stock Warrant; Transaction C Conversion of derivative security.
| 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 | Common Stock Warrants Derivative · Direct | Holding | $15.00 exercise price | 2013-10-03 | ||
| 2013-10-03 holding as of filing | Reiman Scott J. 10% Owner | 3 | Common Stock Warrants Derivative · Direct | Holding | $6.00 exercise price | 2013-10-03 | ||
| 2013-10-03 holding as of filing | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | Holding | 96,833 owned after | $15.00 exercise price | 2013-10-03 | |
| 2013-08-30 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | C Conversion of derivative security | +1,095,313 1,095,313 owned after | $6.00 exercise price | 2013-10-03 | |
| 2013-05-22 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −4,841,608 0 owned after | $0.25 exercise price | 2013-05-23 | |
| 2013-05-22 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,841,608 4,841,608 owned after | $0.30 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −479,228 0 owned after | $3.00 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +479,228 479,228 owned after | $0.25 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,797,103 0 owned after | $3.00 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,797,103 2,276,331 owned after | $0.25 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −704,747 0 owned after | $3.83 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +704,747 2,981,078 owned after | $0.25 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,860,530 0 owned after | $4.25 exercise price | 2013-05-23 | |
| 2013-05-02 | Very Hungry LLC 10% Owner | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,860,530 4,841,608 owned after | $0.25 exercise price | 2013-05-23 | |
| 2013-04-19 | Brownstein Chad T. | Buffalo Management LLC | Quincy Prelude LLC Director, Officer (Exec. Vice Chairman), 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −400,000 1,770,454 owned after | $2.60 exercise price | 2013-04-19 | |
| 2012-08-27 | Buffalo Management LLC | Quincy Prelude LLC | Brownstein Chad T. 10% Owner | 10% Owner | Director, Officer (Exec. Vice Chairman), 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,620,454 2,620,454 owned after | $2.60 exercise price | 2012-08-29 | |
| 2012-08-20 holding as of filing | Buffalo Management LLC | Quincy Prelude LLC | Brownstein Chad T. 10% Owner | 10% Owner | Director, Officer (Exec. Vice Chairman), 10% Owner | 3/A | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $3.75 exercise price | 2012-08-20 | ||
| 2012-08-01 | Brownstein Chad T. | Buffalo Management LLC | Quincy Prelude LLC Director, Officer (Exec. Vice Chairman), 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −450,000 2,170,454 owned after | $2.60 exercise price | 2013-04-19 | |
| 2012-06-11 holding as of filing | Karlsson Group, Inc. 10% Owner | 3 | Warrant (right to buy) Derivative · Direct | Holding | $4.25 exercise price | 2012-06-11 | ||
| 2012-06-08 holding as of filing | Very Hungry LLC 10% Owner | 3 | Common Stock Warrant Derivative · Direct | Holding | $3.00 exercise price | 2012-06-08 | ||
| 2012-06-08 holding as of filing | Very Hungry LLC 10% Owner | 3 | Common Stock Warrant Derivative · Direct | Holding | $3.00 exercise price | 2012-06-08 | ||
| 2012-06-08 holding as of filing | Very Hungry LLC 10% Owner | 3 | Common Stock Warrant Derivative · Direct | Holding | $3.83 exercise price | 2012-06-08 | ||
| 2012-06-08 holding as of filing | Very Hungry LLC 10% Owner | 3 | Common Stock Warrant Derivative · Direct | Holding | $4.25 exercise price | 2012-06-08 | ||
| 2012-06-08 holding as of filing | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Hexagon Investments, LLC | Holding | 0 owned after | no price filed | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Very Hungry LLC | J Other acquisition or disposition (describe transaction) | −187,439 479,228 owned after | $3.00 exercise price | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Scott Reiman 1991 Trust | J Other acquisition or disposition (describe transaction) | +187,439 187,439 owned after | $3.00 exercise price | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Very Hungry LLC | J Other acquisition or disposition (describe transaction) | −702,897 1,797,103 owned after | $3.00 exercise price | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Scott Reiman 1991 Trust | J Other acquisition or disposition (describe transaction) | +702,897 702,897 owned after | $3.00 exercise price | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Very Hungry LLC | J Other acquisition or disposition (describe transaction) | −275,646 704,747 owned after | $3.83 exercise price | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Scott Reiman 1991 Trust | J Other acquisition or disposition (describe transaction) | +275,646 275,646 owned after | $3.83 exercise price | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Very Hungry LLC | J Other acquisition or disposition (describe transaction) | −727,705 1,860,530 owned after | $4.25 exercise price | 2012-06-08 | |
| 2012-06-07 | Reiman Scott J. 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By Scott Reiman 1991 Trust | J Other acquisition or disposition (describe transaction) | +727,705 727,705 owned after | $4.25 exercise price | 2012-06-08 | |
| 2012-05-23 holding as of filing | Reiman Scott J. 10% Owner | 3/A | Common Stock Warrant Derivative · Indirect · By Hexagon Investments, LLC | Holding | $3.00 exercise price | 2012-05-23 | ||
| 2012-05-23 holding as of filing | Reiman Scott J. 10% Owner | 3/A | Common Stock Warrant Derivative · Indirect · By Hexagon Investments, LLC | Holding | $3.00 exercise price | 2012-05-23 | ||
| 2011-12-02 holding as of filing | Reiman Scott J. Director, 10% Owner | 3 | Common Stock Warrant Derivative · Indirect · Owned by Hexagon, LLC, which is controlled by Scott J. Reiman | Holding | $3.00 exercise price | 2011-12-02 | ||
| 2011-12-02 holding as of filing | Reiman Scott J. Director, 10% Owner | 3 | Common Stock Warrant Derivative · Indirect · Owned by Hexagon, LLC, which is controlled by Scott J. Reiman | Holding | $3.00 exercise price | 2011-12-02 | ||
| 2011-11-22 | Reiman Scott J. 10% Owner | 4/A | Common Stock Warrant Derivative · Indirect · By Very Hungry, LLC | J Other acquisition or disposition (describe transaction) | +2,588,235 2,588,235 owned after | $4.25 exercise price | 2012-05-23 | |
| 2011-11-22 | Reiman Scott J. Director, 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +2,588,235 2,588,235 owned after | $4.25 exercise price | 2011-12-02 | |
| 2011-09-19 | Reiman Scott J. 10% Owner | 4/A | Common Stock Warrant Derivative · Indirect · By Hexagon Investments, LLC | J Other acquisition or disposition (describe transaction) | +937,500 937,500 owned after | $4.00 exercise price | 2012-05-23 | |
| 2011-09-19 | Reiman Scott J. Director, 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +979,113 979,113 owned after | $3.83 exercise price | 2011-12-02 |