SEC Form 5 · accession 0001209191-15-014539
Arq, Inc. · ARQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael D Durham
Officer — President and CEO · Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 4:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001515156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Apr 10, 2012 | G | 6,000 | $0.00 | D | 481,280 | D | |
| Common StockF1,F2,F3 | May 1, 2012 | G | 8,000 | $0.00 | D | 473,280 | D | |
| Common StockF1,F2,F4 | Aug 20, 2013 | G | 6,600 | $0.00 | D | 479,922 | D | |
| Common StockF1,F2,F5 | Nov 29, 2013 | G | 12,000 | $0.00 | D | 468,236 | D | |
| Common StockF1,F2,F6 | Feb 3, 2014 | G | 1,200 | $0.00 | D | 485,700 | D | |
| Common StockF2,F7 | Nov 11, 2014 | G | 10,000 | $0.00 | D | 522,817 | D | |
| Common StockF2,F7 | Dec 10, 2014 | G | 17,000 | $0.00 | D | 505,817 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All amounts on this Form 5 are reported on a stock split adjusted basis; the 2 for 1 stock split occurred on March 14, 2014.
- F2These amended total ownership figures also adjust the total holdings reported on all Forms 4 filed subsequent to the date of the respective gift transaction.
- F3Of the amount shown at such time, 109,608 shares were held in the qualified pension plan account of the reporting person, which number was incorrectly reported on previous filings by 144 shares on a stock split-adjusted basis due to an administrative error that occurred in February 2009. Additionally, of the amount shown, 30,000 shares were issued pursuant to a program under the Company's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), were not fully vested and were subject to certain repurchase rights.
- F4Of the amount shown at such time, 112,550 shares were held in a qualified pension plan account of the reporting person and 40,300 shares were issued pursuant to a program under the 2007 Plan, were not fully vested and were subject to certain repurchase rights.
- F5Of the amount shown at such time, 112,864 shares were held in a qualified pension plan account of the reporting person and 40,300 shares were issued pursuant to a program under the 2007 Plan, were not fully vested and were subject to certain repurchase rights.
- F6Of the amount shown at such time, 112,864 shares were held in a qualified pension plan account of the reporting person and 51,372 shares were issued pursuant to a program under the 2007 Plan, were not fully vested and were subject to certain repurchase rights.
- F7Of the amount shown at such time, 112,900 shares were held in a qualified pension plan account of the reporting person and 51,372 shares were issued pursuant to a program under the 2007 Plan, were not fully vested and were subject to certain repurchase rights.