0000902664-18-001721.txt : 20180321 0000902664-18-001721.hdr.sgml : 20180321 20180321173951 ACCESSION NUMBER: 0000902664-18-001721 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180319 FILED AS OF DATE: 20180321 DATE AS OF CHANGE: 20180321 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Honig Barry C CENTRAL INDEX KEY: 0001373203 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37481 FILM NUMBER: 18705294 MAIL ADDRESS: STREET 1: 555 SOUTH FEDERAL HIGHWAY STREET 2: SUITE 450 CITY: BOCA RATON STATE: FL ZIP: 33432 FORMER NAME: FORMER CONFORMED NAME: Honig Barry R DATE OF NAME CHANGE: 20060818 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pershing Gold Corp. CENTRAL INDEX KEY: 0001432196 STANDARD INDUSTRIAL CLASSIFICATION: GOLD & SILVER ORES [1040] IRS NUMBER: 260657736 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1658 COLE BOULEVARD STREET 2: BUILDING 6, SUITE 210 CITY: LAKEWOOD STATE: CO ZIP: 80401 BUSINESS PHONE: (877) 705-9357 MAIL ADDRESS: STREET 1: 1658 COLE BOULEVARD STREET 2: BUILDING 6, SUITE 210 CITY: LAKEWOOD STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Sagebrush Gold Ltd. DATE OF NAME CHANGE: 20110519 FORMER COMPANY: FORMER CONFORMED NAME: Empire Sports & Entertainment Holdings Co. DATE OF NAME CHANGE: 20101005 FORMER COMPANY: FORMER CONFORMED NAME: Excel Global, Inc. DATE OF NAME CHANGE: 20080411 4 1 p18-0890form4.xml PERSHING GOLD CORPORATION X0306 4 2018-03-19 0 0001432196 Pershing Gold Corp. PGLC 0001373203 Honig Barry C 555 SOUTH FEDERAL HIGHWAY SUITE 450 BOCA RATON FL 33432 1 0 1 0 Common Stock, par value $0.0001 ("Common Stock") 2018-03-19 4 P 0 497 2.01 A 5880041 I See footnotes Common Stock 2018-03-20 4 P 0 350 2.05 A 5880391 I See footnotes Common Stock 2395600 D Warrants 3.40 2017-12-19 2019-12-19 Common Stock 396039 396039 I See footnotes Series E Preferred Stock 2.80 Common Stock 2432923 6881 I See footnotes Series E Preferred Stock 2.80 Common Stock 301950 854 D Options 10.80 2010-09-29 2020-09-29 Common Stock 22223 22223 D Options 6.30 2012-04-06 2022-04-06 Common Stock 666667 666667 D Options 6.12 2012-06-18 2022-06-18 Common Stock 55556 55556 D Restricted Stock Units 0 2015-12-11 Common Stock 9579 9579 D Restricted Stock Units 0 Common Stock 10000 10000 D Restricted Stock Units 0 2017-04-28 Common Stock 11228 11228 D Restricted Stock Units 0 2017-06-30 Common Stock 3316 3316 D Restricted Stock Units 0 2017-09-29 Common Stock 2458 2458 D Restricted Stock Units 0 2017-12-29 Common Stock 2605 2605 D The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.04 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each price within the range set forth herein. The securities reported on this line are held by GRQ Consultants, Inc. 401K (of which Barry Honig ("Mr. Honig") is Trustee), GRQ Consultants, Inc. (of which Mr. Honig is President), GRQ Consultants, Inc. Roth 401K FBO Barry Honig (of which Mr. Honig is Trustee) and GRQ Consultants, Inc. Defined Benefit Plan (of which Mr. Honig is Trustee). The Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the Reporting Person's pecuniary interest therein. Such Series E Preferred Stock may be converted at any time and from time to time and has no expiration date. Pursuant to the Restricted Stock Unit Grant Agreement, dated February 3, 2017, 5,000 units vested on the issuance date, February 3, 2017, and 5,000 units vested on February 3, 2018. The restricted stock units were granted pursuant to their applicable Restricted Stock Unit Grant Agreements. For each vested restricted stock unit, the Reporting Person will be entitled to receive one share of Common Stock upon termination of service on the Issuer's board of directors, in connection with a change in control or under certain other circumstances, all as set forth in such agreements. /s/ Barry Honig 2018-03-21