SEC Form 4 · accession 0001229856-15-000004
Arq, Inc. · ARQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Bradley Gabbard
Officer — Chief Financial Officer · Director
Period of report
Jun 12, 2015
Accepted (ET)
Jun 16, 2015 · 9:58 pm EDT
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 | Jun 12, 2015 | A | 31,138 | $0.00 | A | 39,926 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents Restricted Stock issued pursuant to the 2015 Long Term Incentive Plan ("LTIP") under the Advanced Emissions Solutions, Inc. (the "Company") Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). The Restricted Stock will vest upon the achievement of a pre-established performance goal subject to continuous service with the Company or its related entities unless such shares vest sooner pursuant to Section 11 of the 2007 Plan or the reporting person's employment agreement with the Company.
- F2The shares of Restricted Stock were granted for services to be rendered to the Company by the reporting person.
- F3Of the amount shown, 31,138 shares are restricted stock (not fully vested and subject to certain repurchase rights under the 2007 Plan).