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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Amrhein Christine B. 9135 S. RIDGELINE BLVD., SUITE 200 C/O ADA-ES, INC. HIGHLANDS RANCH, CO 80129 |
General Counsel & VP |
Christine B. Amrhein | 08/02/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares issued directly to Ms. Amrhein's qualified pension plan. |
(2) | Price equals the fair market value of the shares on the date of authorization. |
(3) | Of the amount shown, 634 shares are held in the qualified pension plan account of Ms. Amrhein and 3,104 shares were issued pursuant to a program under the Company's Equity Incentive Plan, are not fully vested and are subject to certain repurchase rights. |
(4) | On July 1, 2013, Advanced Emissions Solutions, Inc., a Delaware corporation ("Issuer"), became the successor of ADA-ES, Inc., a Colorado corporation ("ADA"), pursuant to a reorganization whereby a wholly owned subsidiary of Issuer was merged with and into ADA, with ADA continuing as the surviving entity and becoming a wholly owned subsidiary of Issuer. In the merger, each outstanding share of ADA common stock, no par value, immediately prior to the merger was automatically converted into one share of common stock, par value $0.001 per share, of Issuer ("Issuer Common Stock"). All stock-based benefit plans of ADA were assumed by Issuer and, going forward, Issuer Common Stock will be issued upon the vesting of any stock-based awards or the exercise of options to reflect the substitution of the Issuer's Common Stock for ADA's common stock. The reorganization did not alter the proportionate interests of security holders. |
(5) | Shares issued directly to Mr. Amrhein's qualified pension plan. |
(6) | Of the amount shown, 4,662 shares are held in the qualified pension plan account of Mr. Amrhein and 437 shares were issued pursuant to a program under the Company's Equity Incentive Plan, are not fully vested and are subject to certain repurchase rights. |