4/A//SEC Filing
Advanced Emissions Solutions, Inc. 4/A
Accession 0001209191-15-014536
$ARQCIK 0001515156operating
Filed
Feb 16, 7:00 PM ET
Accepted
Feb 17, 4:37 PM ET
Size
11.9 KB
Accession
0001209191-15-014536
Insider Transaction Report
Form 4/AAmended
DURHAM MICHAEL D
President & CEO
Transactions
- Tax Payment
Common Stock
2014-08-22$21.00/sh−50,939$1,069,719→ 532,817 total - Exercise/Conversion
Stock Option
2014-08-22−98,020→ 0 totalExercise: $4.30From: 2009-01-08Exp: 2014-08-23→ Common Stock (98,020 underlying) - Exercise/Conversion
Common Stock
2014-08-22$4.30/sh+98,020$421,486→ 583,756 total
Holdings
- 2,750(indirect: By Spouse)
Common Stock
Footnotes (10)
- [F1]Represents the total number of underlying shares issued pursuant to the exercise of the stock option (the "Stock Option") granted to the reporting person on August 23, 2004 pursuant to the Company's 2004 Executive Stock Option Plan.
- [F10]The Stock Options were granted for services to be rendered to the Company by the reporting person.
- [F2]Represents the exercise price of the Stock Option.
- [F3]Of the amount shown, 112,900 shares are held in the qualified pension plan account of the reporting person, which number was incorrectly reported on previous filings by 144 shares on a stock split-adjusted basis due to an administrative error that occurred in February 2009. Additionally, of the amount shown, 51,372 shares were issued pursuant to a program under the Company's Amended and Restated 2007 Equity Incentive Plan, as amended, are not fully vested and are subject to certain repurchase rights. These total ownership figures are also corrected from previous filings to reflect gifts of shares made by the reporting person between April 2012 and November 2013, the details of which are reported on a Form 5 for the fiscal year ended Decenber 31, 2014 filed on the same date as this amendment.
- [F4]Represents 20,071 shares withheld to cover the exercise price of the Stock Option and 30,868 shares withheld to satisfy minimum statutory tax withholding obligations upon exercise of the Stock Option.
- [F5]Fair market value of the shares, as of the market closing price on August 21, 2014, which is the day prior to the exercise of the Stock Option.
- [F6]The previous filing incorrectly omitted shares indirectly held by the reporting person.
- [F7]The previous filing inadvertently placed the amount of shares exercised under the "Acquired" column.
- [F8]Represents the date to which vesting of the Stock Option was accelerated, as approved by the Company's Board of Directors.
- [F9]Represents the amount of underlying shares subject to the full exercise of the Stock Option.
Documents
Issuer
Advanced Emissions Solutions, Inc.
CIK 0001515156
Entity typeoperating
Related Parties
1- filerCIK 0001515156
Filing Metadata
- Form type
- 4/A
- Filed
- Feb 16, 7:00 PM ET
- Accepted
- Feb 17, 4:37 PM ET
- Size
- 11.9 KB