SEC Form 4 · accession 0001515156-26-000107
Arq, Inc. · ARQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Claiborne Benson Smith
Officer — Gen Counsel, Corp Secretary
Period of report
Aug 1, 2026
Accepted (ET)
Aug 4, 2026 · 8:30 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001515156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 1, 2026 | A | 61,047 | $0.00 | A | 155,513 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Share UnitsF2,F3,F4 | — | Aug 1, 2026 | A | 61,047 | A | — | Mar 15, 2029 | Common Stock | 122,094 | 61,047 | D |
Explanation of responses
- F1Represents restricted stock awards ("RSAs") granted in accordance with the Issuer's long-term incentive plan under the 2026 Omnibus Incentive Plan, approved by stockholders on June 10, 2026. The RSAs shall vest in three equal installments, on each of August 1, 2027, March 23, 2028, and March 23, 2029.
- F2Represents performance share units ("PSUs") granted in accordance with the Issuer's long-term incentive plan under the 2026 Omnibus Incentive Plan.
- F3Each PSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting of the PSU, which will occur, if at all, no later than March 15, 2029 subject to the reporting person's continuous service with the Issuer or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2028.
- F4Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.