SEC Form 4 · accession 0001515156-18-000084
Arq, Inc. · ARQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 29, 2018
Accepted (ET)
Jul 3, 2018 · 5:56 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 | Jun 29, 2018 | P | 27,011 | $11.2851 | A | 1,333,365 | I | See Footnote |
| Common StockF1 | Jul 1, 2018 | A | 13,014 | $0.00 | A | 1,346,379 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are directly held by Clients, Funds, and Affiliates ("Accounts") that are managed by Alta Fundamental Advisers LLC ("Alta"). Gilbert Li, a Director of the Issuer, is Managing Partner of Alta. In addition, Mr. Li is an investor in one or more of these Accounts and therefore is an indirect beneficial owner of a portion of these shares. Alta and Mr. Li disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.