0001179110-13-007000.txt : 20130419 0001179110-13-007000.hdr.sgml : 20130419 20130419212135 ACCESSION NUMBER: 0001179110-13-007000 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120801 FILED AS OF DATE: 20130419 DATE AS OF CHANGE: 20130419 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brownstein Chad T. CENTRAL INDEX KEY: 0001515976 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35590 FILM NUMBER: 13772609 MAIL ADDRESS: STREET 1: 555 SOUTH BARRINGTON AVENUE, #216 CITY: LOS ANGELES STATE: CA ZIP: 90049 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROSPECT GLOBAL RESOURCES INC. CENTRAL INDEX KEY: 0001477032 STANDARD INDUSTRIAL CLASSIFICATION: GEN BUILDING CONTRACTORS - RESIDENTIAL BUILDINGS [1520] IRS NUMBER: 263024783 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1401 17TH STREET STREET 2: SUITE 1550 CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 303-990-8444 MAIL ADDRESS: STREET 1: 1401 17TH STREET STREET 2: SUITE 1550 CITY: DENVER STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: Triangle Castings, Inc. DATE OF NAME CHANGE: 20091118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buffalo Management LLC CENTRAL INDEX KEY: 0001516052 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35590 FILM NUMBER: 13772610 BUSINESS ADDRESS: STREET 1: 555 SOUTH BARRINGTON AVENUE, #216 CITY: LOS ANGELES STATE: CA ZIP: 90049 BUSINESS PHONE: (310) 476-0967 MAIL ADDRESS: STREET 1: 555 SOUTH BARRINGTON AVENUE, #216 CITY: LOS ANGELES STATE: CA ZIP: 90049 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Quincy Prelude LLC CENTRAL INDEX KEY: 0001516057 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35590 FILM NUMBER: 13772611 BUSINESS ADDRESS: STREET 1: 555 SOUTH BARRINGTON AVENUE, #216 CITY: LOS ANGELES STATE: CA ZIP: 90049 BUSINESS PHONE: (310) 476-0967 MAIL ADDRESS: STREET 1: 555 SOUTH BARRINGTON AVENUE, #216 CITY: LOS ANGELES STATE: CA ZIP: 90049 4 1 edgar.xml FORM 4 - X0306 4 2012-08-01 0 0001477032 PROSPECT GLOBAL RESOURCES INC. PGRX 0001516052 Buffalo Management LLC 555 SOUTH BARRINGTON AVENUE, #216 LOS ANGELES CA 90049 0 0 1 0 0001515976 Brownstein Chad T. 555 SOUTH BARRINGTON AVENUE, #216 LOS ANGELES CA 90049 1 1 1 0 Exec. Vice Chairman 0001516057 Quincy Prelude LLC 555 SOUTH BARRINGTON AVENUE, #216 LOS ANGELES CA 90049 0 0 1 0 Common Stock 2013-04-19 4 S 0 542000 0.18 D 274667 D Common Stock 2900000 D Common Stock 7400 I As custodian for son A Common Stock 6100 I As custodian for son B Common Stock Warrants (right to buy) 2.6 2012-08-01 4 S 0 450000 0 D 2012-08-27 2017-07-31 Common Stock 450000 2170454 D Common Stock Warrants (right to buy) 2.6 2013-04-19 4 S 0 400000 0 D 2012-08-27 2017-07-31 Common Stock 400000 1770454 D For consulting services rendered. 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. 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. 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. /s/ Jeffrey M. Knetsch, Attorney-in-Fact for Quincy Prelude LLC, as the Sole Member of Buffalo Management LLC, by Chad T. Brownstein, its Managing Member 2013-04-19 /s/ Jeffrey M. Knetsch, Attorney-in-Fact for Chad T. Brownstein 2013-04-19 /s/ Jeffrey M. Knetsch, Attorney-in-Fact for Chad T. Brownstein, as the Managing Member of Quincy Prelude LLC 2013-04-19