SEC Form 4 · accession 0001677296-17-000002
Arq, Inc. · ARQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ron Hanson
Officer — SVP of Operations of ADA-ES
Period of report
Jan 2, 2017
Accepted (ET)
Jan 4, 2017 · 6:20 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, 2017 | F | 41 | $9.24 | D | 21,893 | 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 111 shares issued under the issuer's Amended and Restated 2010 Non-Management Compensation and Incentive Plan (the "2010 Plan").
- F2Of the amount shown, 665 shares are held in the qualified pension plan account of the reporting person; 15,000 shares of restricted stock issued pursuant to the 2010 Plan, not fully vested and subject to forfeiture or certain repurchase rights, as applicable, under the 2010 Plan; and 5,000 shares of restricted stock issued pursuant to the Advanced Emissions Solutions, Inc. Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), not fully vested and subject to forfeiture or certain repurchase rights, as applicable, under the 2007 Plan.