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Arq, Inc. — Director's Dealing 2014
Jan 28, 2014
14889_dirs_2014-01-27_ac32d314-1275-40d1-83fd-9dcb8b8782a7.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: Advanced Emissions Solutions, Inc. (ADES)
CIK: 0001515156
Period of Report: 2013-12-31
Reporting Person: LAGARENNE JONATHAN R (Executive Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16049 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Performance Share Units | $ | Common Stock (7230) | 7230 | Direct |
Footnotes
F1: Of the amount shown, 184 shares are held in the qualified pension plan account of the reporting person and 13,615 shares were issued pursuant to the programs under the 2007 Plan, are not fully vested and are subject to certain repurchase rights.
F2: Each Performance Share Unit represents a contingent right to receive one share of the Company's common stock.
F3: Vesting of the Performance Share Units, if at all, will occur on January 2, 2016, subject to continuous service and the achievement of certain pre-established goals to be measured as of December 31, 2015, unless such units vest sooner at the target amount pursuant to Section 11 of the 2007 Plan.