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Arq, Inc. — Director's Dealing 2017
Jan 5, 2017
14889_dirs_2017-01-04_b4a4c62d-a9cf-4f79-b844-596663270a83.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Advanced Emissions Solutions, Inc. (ADES)
CIK: 0001515156
Period of Report: 2017-01-02
Reporting Person: Sampson L Heath (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-02 | Common Stock | F | 555 | $9.24 | Disposed | 147763 | Direct |
| 2017-01-02 | Common Stock | F | 1812 | $9.24 | Disposed | 145951 | Direct |
| 2017-01-02 | Common Stock | F | 7938 | $9.24 | Disposed | 138013 | Direct |
Footnotes
F1: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 1,489 shares issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), pursuant to the 2014 Long Term Incentive Plan.
F2: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 4,861 shares issued under the 2007 Plan, pursuant to the 2015 Long Term Incentive Plan.
F3: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 24,000 shares issued under the 2007 Plan, pursuant to the Long Term Incentive Plan.
F4: Of the amount shown, 102,862 shares are restricted stock (not fully vested and subject to forfeiture or certain repurchase rights, as applicable, under the 2007 Plan).