SEC Form 4 · accession 0001384158-17-000002
Arq, Inc. · ARQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sharon Sjostrom
Officer — Chief Product Officer
Period of report
Jan 2, 2017
Accepted (ET)
Jan 4, 2017 · 6:22 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 | Jan 2, 2017 | F | 359 | $9.24 | D | 66,346 | D | |
| Common StockF2 | Jan 2, 2017 | F | 528 | $9.24 | D | 65,818 | D | |
| Common StockF3,F4 | Jan 2, 2017 | F | 70 | $9.24 | D | 65,748 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 964 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.
- F2Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 1,418 shares issued under the 2007 Plan, pursuant to the 2015 Long Term Incentive Plan.
- F3Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 189 shares issued under the 2007 Plan, pursuant to the 2015 Long Term Incentive Plan.
- F4Of the amount shown, 16,532 shares are held in the qualified pension plan account of the reporting person and 21,609 shares are restricted stock (not fully vested and subject to forfeiture or certain repurchase rights, as applicable, under the 2007 Plan).