Last 12 months
Inside the activity.
15 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 4 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 5 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 1 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 6 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 04, 2019 Filed Sep 5, 2019 19:01 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 200 | $12.47 | $2,493.50 |
DisclosureSEC source: 0001515156-19-000092 · wf-form4_156772449795856.xml · nonDerivative · entry 2 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,562,617 F1 · balance_after: These 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. Read SEC document |
| September 03, 2019 Filed Sep 5, 2019 19:01 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 50,000 | $12.35 | $617,550.00 |
DisclosureSEC source: 0001515156-19-000092 · wf-form4_156772449795856.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,562,417 F1 · balance_after: These 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. Read SEC document |
| August 27, 2019 Filed Aug 29, 2019 18:00 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 25,000 | $12.49 | $312,207.50 |
DisclosureSEC source: 0001515156-19-000090 · wf-form4_156711603286609.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,512,417 F1 · balance_after: These 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. Read SEC document |
| August 26, 2019 Filed Aug 27, 2019 19:16 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 6,747 | $12.44 | $83,963.72 |
DisclosureSEC source: 0001515156-19-000088 · wf-form4_156694777920764.xml · nonDerivative · entry 2 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,487,417 F1 · balance_after: These 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. Read SEC document |
| August 23, 2019 Filed Aug 27, 2019 19:16 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 19,000 | $12.43 | $236,217.50 |
DisclosureSEC source: 0001515156-19-000088 · wf-form4_156694777920764.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,480,670 F1 · balance_after: These 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. Read SEC document |
| August 22, 2019 Filed Aug 23, 2019 18:13 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 3,200 | $12.64 | $40,462.08 |
DisclosureSEC source: 0001515156-19-000086 · wf-form4_156659837198066.xml · nonDerivative · entry 2 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,461,670 F1 · balance_after: These 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. Read SEC document |
| August 21, 2019 Filed Aug 23, 2019 18:13 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 25,000 | $12.19 | $304,855.00 |
DisclosureSEC source: 0001515156-19-000086 · wf-form4_156659837198066.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,458,470 F1 · balance_after: These 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. Read SEC document |
| August 20, 2019 Filed Aug 21, 2019 19:01 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 15,700 | $12.04 | $188,951.07 |
DisclosureSEC source: 0001515156-19-000084 · wf-form4_156642847963196.xml · nonDerivative · entry 2 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,433,470 F1 · balance_after: These 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. Read SEC document |
| August 19, 2019 Filed Aug 21, 2019 19:01 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 40,543 | $11.88 | $481,508.94 |
DisclosureSEC source: 0001515156-19-000084 · wf-form4_156642847963196.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,417,770 F1 · balance_after: These 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. Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 22:13 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionStock Option (right to buy) · Derivative | 92,666 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000082 · wf-form4_156633916791996.xml · derivative · entry 5 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 92,666 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The options were granted for services to be rendered to the Company by the reporting person. Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 22:13 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionStock Option (right to buy) · Derivative | 92,666 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000082 · wf-form4_156633916791996.xml · derivative · entry 4 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 92,666 shares Expires 2019-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The options were granted for services to be rendered to the Company by the reporting person. Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 22:13 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 159,512 | $11.76 | $1,875,861.12 |
DisclosureSEC source: 0001515156-19-000082 · wf-form4_156633916791996.xml · nonDerivative · entry 3 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,042 F1 · kind: Represents the shares withheld to satisfy the exercise price and statutory tax withholding obligations upon the exercise of stock options issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 22:13 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionCommon Stock | 92,666 | $10.00 | $926,660.00 |
DisclosureSEC source: 0001515156-19-000082 · wf-form4_156633916791996.xml · nonDerivative · entry 2 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 497,554 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 22:13 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionCommon Stock | 92,666 | $9.00 | $833,994.00 |
DisclosureSEC source: 0001515156-19-000082 · wf-form4_156633916791996.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 404,888 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 17:26 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
GrantCommon Stock | 5,848 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000068 · wf-form4_156218919713489.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,377,227 F1 · balance_after: These 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. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 21:19 UTC |
EICHER CAROL SDirector
|
GrantCommon Stock | 3,509 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000065 · wf-form4_156218877543623.xml · nonDerivative · entry 1 EICHER CAROL S · CIK 0001434811 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,509 Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 17:24 UTC |
Simonton Taylor J.Director
|
GrantCommon Stock | 3,509 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000067 · wf-form4_156218903143033.xml · nonDerivative · entry 1 Simonton Taylor J. · CIK 0001227195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,522 Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:09 UTC |
Leen BrianDirector
|
GrantCommon Stock | 3,509 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000071 · wf-form4_156220255024054.xml · nonDerivative · entry 1 Leen Brian · CIK 0001770103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,509 Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 21:29 UTC |
Wells Louis SpencerDirector
|
GrantCommon Stock | 3,509 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000069 · wf-form4_156218933963717.xml · nonDerivative · entry 1 Wells Louis Spencer · CIK 0001615237 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,478 Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 21:21 UTC |
Pate R CarterDirector
|
GrantCommon Stock | 3,509 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000066 · wf-form4_156218889611253.xml · nonDerivative · entry 1 Pate R Carter · CIK 0001641406 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,467 Read SEC document |
| March 23, 2019 Filed Mar 26, 2019 19:17 UTC |
Sanders Theodore JamesGeneral Counsel
|
GrantCommon Stock | 12,085 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000027 · wf-form4_155364226125174.xml · nonDerivative · entry 2 Sanders Theodore James · CIK 0001700640 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,789 F2 · shares: Represents Restricted Stock issued under the 2017 Plan. Read SEC document |
| March 23, 2019 Filed Mar 26, 2019 19:17 UTC |
Sanders Theodore JamesGeneral Counsel
|
Tax withholdingCommon Stock | 2,876 | $10.84 | $31,175.84 |
DisclosureSEC source: 0001515156-19-000027 · wf-form4_155364226125174.xml · nonDerivative · entry 1 Sanders Theodore James · CIK 0001700640 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,704 F1 · shares: Represents the shares withheld to satisfy the statutory tax withholding obligations upon the vesting of shares issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan") and the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan (the "2017 Plan"). Read SEC document |
| March 23, 2019 Filed Mar 26, 2019 19:22 UTC |
Marken GregChief Financial Officer
|
GrantCommon Stock | 14,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000029 · wf-form4_155364250809686.xml · nonDerivative · entry 2 Marken Greg · CIK 0001677291 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,262 F2 · shares: Represents Restricted Stock issued under the 2017 Plan. Read SEC document |
| March 23, 2019 Filed Mar 26, 2019 19:22 UTC |
Marken GregChief Financial Officer
|
Tax withholdingCommon Stock | 4,081 | $10.84 | $44,238.04 |
DisclosureSEC source: 0001515156-19-000029 · wf-form4_155364250809686.xml · nonDerivative · entry 1 Marken Greg · CIK 0001677291 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,548 F1 · shares: Represents the shares withheld to satisfy the statutory tax withholding obligations upon the vesting of shares issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan") and the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan (the "2017 Plan"). Read SEC document |
| March 23, 2019 Filed Mar 26, 2019 23:26 UTC |
Sampson L HeathDirector · President & CEO
|
GrantCommon Stock | 55,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-19-000031 · wf-form4_155364277683850.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 312,222 F1 · shares: Represents Restricted Stock issued under the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 22:45 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 7,557 | $10.70 | $80,859.90 |
DisclosureSEC source: 0001515156-19-000004 · wf-form4_154664191604508.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,222 F1 · shares: Represents the shares withheld to satisfy the statutory tax withholding obligations upon the vesting of shares issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 18:47 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 55,000 | $10.34 | $568,793.50 |
DisclosureSEC source: 0001515156-19-000002 · wf-form4_154655925766329.xml · nonDerivative · entry 2 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,371,379 F1 · balance_after: These 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. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 18:47 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
SaleCommon Stock | 45,000 | $10.28 | $462,739.50 |
DisclosureSEC source: 0001515156-19-000002 · wf-form4_154655925766329.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,316,379 F1 · balance_after: These 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. Read SEC document |
| December 28, 2018 Filed Dec 31, 2018 16:48 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 55,000 | $9.99 | $549,312.50 |
DisclosureSEC source: 0001515156-18-000116 · wf-form4_154629288827840.xml · nonDerivative · entry 3 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,361,379 F1 · balance_after: These 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. Read SEC document |
| December 28, 2018 Filed Dec 31, 2018 16:48 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
SaleCommon Stock | 50,000 | $9.94 | $496,980.00 |
DisclosureSEC source: 0001515156-18-000116 · wf-form4_154629288827840.xml · nonDerivative · entry 2 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,306,379 F1 · balance_after: These 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. Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 16:48 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 10,000 | $9.85 | $98,530.00 |
DisclosureSEC source: 0001515156-18-000116 · wf-form4_154629288827840.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,356,379 F1 · balance_after: These 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. Read SEC document |
| October 16, 2018 Filed Oct 18, 2018 21:43 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 5,497 | $10.62 | $58,378.14 |
DisclosureSEC source: 0001515156-18-000101 · wf-form4_153989900045280.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,779 F1 · shares: Represents the shares withheld to satisfy the statutory tax withholding obligations upon the vesting of restricted shares issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| August 14, 2018 Filed Aug 16, 2018 21:31 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionStock Option (right to buy) · Derivative | 92,666 | $0.00 Strike: $8.25 | $0.00 |
DisclosureSEC source: 0001515156-18-000094 · wf-form4_153445505203636.xml · derivative · entry 3 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 92,666 shares Expires 2018-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The options were granted for services to be rendered to the Company by the reporting person. Read SEC document |
| August 14, 2018 Filed Aug 16, 2018 21:31 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 73,999 | $11.29 | $835,448.71 |
DisclosureSEC source: 0001515156-18-000094 · wf-form4_153445505203636.xml · nonDerivative · entry 2 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,276 Read SEC document |
| August 14, 2018 Filed Aug 16, 2018 21:31 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionCommon Stock | 92,666 | $8.25 | $764,494.50 |
DisclosureSEC source: 0001515156-18-000094 · wf-form4_153445505203636.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,275 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:56 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
GrantCommon Stock | 13,014 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000084 · wf-form4_153065498538796.xml · nonDerivative · entry 2 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,346,379 F1 · balance_after: These 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. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 17:40 UTC |
Simonton Taylor J.Director
|
GrantCommon Stock | 3,904 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000082 · wf-form4_153065402826539.xml · nonDerivative · entry 1 Simonton Taylor J. · CIK 0001227195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,013 Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 21:45 UTC |
Wells Louis SpencerDirector
|
GrantCommon Stock | 3,904 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000083 · wf-form4_153065431686569.xml · nonDerivative · entry 1 Wells Louis Spencer · CIK 0001615237 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,969 Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 21:29 UTC |
Pate R CarterDirector
|
GrantCommon Stock | 3,904 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000080 · wf-form4_153065338022401.xml · nonDerivative · entry 1 Pate R Carter · CIK 0001641406 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,958 Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 17:56 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 27,011 | $11.29 | $304,821.84 |
DisclosureSEC source: 0001515156-18-000084 · wf-form4_153065498538796.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,333,365 F1 · balance_after: These 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. Read SEC document |
| June 28, 2018 Filed Jul 2, 2018 18:58 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 20,020 | $11.11 | $222,464.24 |
DisclosureSEC source: 0001515156-18-000075 · wf-form4_153057229482000.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director Alta Fundamental Advisers SP LLC · CIK 0001666423 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,306,354 F1 · balance_after: These 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. Read SEC document |
| May 24, 2018 Filed May 29, 2018 21:13 UTC |
Hanson RonSVP of Operations of ADA-ES
|
SaleCommon Stock | 1,228 | $11.12 | $13,655.36 |
DisclosureSEC source: 0001515156-18-000064 · wf-form4_152762836209334.xml · nonDerivative · entry 1 Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,863 Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 17:34 UTC |
Sanders Theodore JamesGeneral Counsel
|
Tax withholdingCommon Stock | 935 | $10.95 | $10,238.25 |
DisclosureSEC source: 0001515156-18-000037 · wf-form4_152218646600489.xml · nonDerivative · entry 2 Sanders Theodore James · CIK 0001700640 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,580 Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 17:34 UTC |
Sanders Theodore JamesGeneral Counsel
|
GrantCommon Stock | 12,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000037 · wf-form4_152218646600489.xml · nonDerivative · entry 1 Sanders Theodore James · CIK 0001700640 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,515 F1 · shares: Represents Restricted Stock issued under the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 17:32 UTC |
Marken GregChief Financial Officer
|
Tax withholdingCommon Stock | 1,619 | $10.95 | $17,728.05 |
DisclosureSEC source: 0001515156-18-000036 · wf-form4_152218634472718.xml · nonDerivative · entry 2 Marken Greg · CIK 0001677291 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,629 Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 17:32 UTC |
Marken GregChief Financial Officer
|
GrantCommon Stock | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000036 · wf-form4_152218634472718.xml · nonDerivative · entry 1 Marken Greg · CIK 0001677291 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,248 F1 · shares: Represents Restricted Stock issued under the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 17:22 UTC |
Sjostrom SharonChief Product Officer
|
Tax withholdingCommon Stock | 965 | $10.95 | $10,566.75 |
DisclosureSEC source: 0001515156-18-000033 · wf-form4_152218570940456.xml · nonDerivative · entry 2 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,506 Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 17:22 UTC |
Sjostrom SharonChief Product Officer
|
GrantCommon Stock | 11,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000033 · wf-form4_152218570940456.xml · nonDerivative · entry 1 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,471 F1 · shares: Represents Restricted Stock issued under the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 21:28 UTC |
Hanson RonSVP of Operations of ADA-ES
|
Tax withholdingCommon Stock | 1,369 | $10.95 | $14,990.55 |
DisclosureSEC source: 0001515156-18-000035 · wf-form4_152218612361383.xml · nonDerivative · entry 2 Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,091 Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 21:28 UTC |
Hanson RonSVP of Operations of ADA-ES
|
GrantCommon Stock | 11,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000035 · wf-form4_152218612361383.xml · nonDerivative · entry 1 Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,460 F1 · shares: Represents Restricted Stock issued under the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.