SEC Form 4 · accession 0001515156-18-000006
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, 2018
Accepted (ET)
Jan 4, 2018 · 5:43 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 | Jan 2, 2018 | F | 599 | $9.50 | D | 53,241 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the shares withheld to satisfy the statutory tax withholding obligations upon the vesting of shares issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan").
- F2Since the Form 4 filed by the reporting person on May 12, 2017, the Advanced Emissions Solutions, Inc. 401(k) Plan (the "Plan") executed a non-volitional liquidation of all of the Issuer's securities held in the Plan, including 16,527 shares held in the reporting owner's account. Prior to this complete liquidation, the Plan also executed a non-volitional liquidation of 5 shares from the reporting owner's account for Plan compliance purposes.