0001181431-14-034687.txt : 20141022 0001181431-14-034687.hdr.sgml : 20141022 20141022190247 ACCESSION NUMBER: 0001181431-14-034687 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141020 FILED AS OF DATE: 20141022 DATE AS OF CHANGE: 20141022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DAKOTA PLAINS HOLDINGS, INC. CENTRAL INDEX KEY: 0001367311 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-PETROLEUM BULK STATIONS & TERMINALS [5171] IRS NUMBER: 202543857 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 294 GROVE LANE EAST CITY: WAYZATA STATE: MN ZIP: 55391 BUSINESS PHONE: 952-473-9950 MAIL ADDRESS: STREET 1: 294 GROVE LANE EAST CITY: WAYZATA STATE: MN ZIP: 55391 FORMER COMPANY: FORMER CONFORMED NAME: MCT HOLDING CORP DATE OF NAME CHANGE: 20060623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DeRosa William Thomas Jr. CENTRAL INDEX KEY: 0001607229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36493 FILM NUMBER: 141168540 MAIL ADDRESS: STREET 1: 53 FOREST AVENUE STREET 2: 1ST FLOOR CITY: OLD GREENWICH STATE: CT ZIP: 06870 4 1 rrd417809.xml DEROSA, BILL FORM 4 - 10-22-14 X0306 4 2014-10-20 0 0001367311 DAKOTA PLAINS HOLDINGS, INC. DAKP 0001607229 DeRosa William Thomas Jr. 294 GROVE LANE EAST WAYZATA MN 55391 1 0 0 0 Common Stock 2014-10-20 4 P 0 25000 1.9636 A 3957026 I In accounts advised by Lone Star Value Management, LLC Common Stock 2014-10-21 4 P 0 25000 1.9495 A 3982026 I In accounts advised by Lone Star Value Management, LLC Common Stock 2014-10-22 4 P 0 17974 1.9543 A 4000000 I In accounts advised by Lone Star Value Management, LLC The purchases of shares reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by Lone Star Value Investors, LP on August 13, 2014. The price reported is a weighted average price. These 25,000 shares were purchased in multiple transactions on October 20, 2014 at prices ranging from $1.925 to $1.98 per share by Lone Star Value Investors, LP, for whom Lone Star Value Management, LLC acts as an investment manager. The reporting person undertakes to provide the Securities and Exchange Commission, upon request, further information regarding the number of shares purchased at each separate price such shares were purchased. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. The price reported is a weighted average price. These 25,000 shares were purchased in multiple transactions on October 21, 2014 at prices ranging from $1.91 to $1.98 per share by Lone Star Value Investors, LP, for whom Lone Star Value Management, LLC acts as an investment manager. The reporting person undertakes to provide the Securities and Exchange Commission, upon request, further information regarding the number of shares purchased at each separate price such shares were purchased. The price reported is a weighted average price. These 17,974 shares were purchased in multiple transactions on October 22, 2014 at prices ranging from $1.90 to $1.97 per share by Lone Star Value Investors, LP, for whom Lone Star Value Management, LLC acts as an investment manager. The reporting person undertakes to provide the Securities and Exchange Commission, upon request, further information regarding the number of shares purchased at each separate price such shares were purchased. James L. Thornton, attorney-in-fact 2014-10-22