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 |
|---|---|---|---|---|---|---|
| March 23, 2018 Filed Mar 27, 2018 21:27 UTC |
Sampson L HeathDirector · President & CEO
|
GrantCommon Stock | 55,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000034 · wf-form4_152218601938894.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,609 F1 · shares: Represents Restricted Stock issued under the Advanced Emissions Solutions, Inc. 2017 Omnibus Incentive Plan. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:32 UTC |
Sjostrom SharonChief Product Officer
|
Exercise / conversionPerformance Share Units · Derivative | 1,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000015 · wf-form4_152029274486389.xml · derivative · entry 5 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,136 shares Expires not disclosed 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 · derivative.exercise_price: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 1,136 PSUs awarded to the reporting person on July 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the 2007 Plan, 479 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. F2 · derivative.exercise_date: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 1,136 PSUs awarded to the reporting person on July 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the 2007 Plan, 479 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. F2 · derivative.expiration_date: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 1,136 PSUs awarded to the reporting person on July 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the 2007 Plan, 479 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:32 UTC |
Sjostrom SharonChief Product Officer
|
Exercise / conversionPerformance Share Units · Derivative | 8,510 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000015 · wf-form4_152029274486389.xml · derivative · entry 4 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,510 shares Expires not disclosed 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 · derivative.exercise_price: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,510 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,589 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. F1 · derivative.exercise_date: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,510 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,589 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. F1 · derivative.expiration_date: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,510 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,589 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:32 UTC |
Sjostrom SharonChief Product Officer
|
Tax withholdingCommon Stock | 1,394 | $9.73 | $13,563.62 |
DisclosureSEC source: 0001515156-18-000015 · wf-form4_152029274486389.xml · nonDerivative · entry 3 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,915 Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:32 UTC |
Sjostrom SharonChief Product Officer
|
Exercise / conversionCommon Stock | 479 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000015 · wf-form4_152029274486389.xml · nonDerivative · entry 2 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,309 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 · shares: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 1,136 PSUs awarded to the reporting person on July 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the 2007 Plan, 479 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:32 UTC |
Sjostrom SharonChief Product Officer
|
Exercise / conversionCommon Stock | 3,589 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000015 · wf-form4_152029274486389.xml · nonDerivative · entry 1 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,830 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 · shares: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,510 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,589 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:10 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionPerformance Share Units · Derivative | 29,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000014 · wf-form4_152029139209730.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 · 29,166 shares Expires not disclosed 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 · derivative.exercise_price: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 29,166 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 12,304 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. F1 · derivative.exercise_date: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 29,166 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 12,304 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. F1 · derivative.expiration_date: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 29,166 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 12,304 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:10 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 2,667 | $9.73 | $25,949.91 |
DisclosureSEC source: 0001515156-18-000014 · wf-form4_152029139209730.xml · nonDerivative · entry 2 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,054 Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:10 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionCommon Stock | 12,304 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-18-000014 · wf-form4_152029139209730.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,721 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 · shares: On March 1, 2018, the Compensation Committee of the Board of Directors of the issuer determined that of the 29,166 performance share units ("PSUs") awarded to the reporting person on March 3, 2015 pursuant to the 2015 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 12,304 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2017. Each vested PSU represented the right to receive one share of the issuer's common stock. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 19:16 UTC |
Marken GregChief Accounting Officer
|
Tax withholdingCommon Stock | 950 | $8.84 | $8,398.00 |
DisclosureSEC source: 0001515156-18-000011 · wf-form4_151623459136071.xml · nonDerivative · entry 1 Marken Greg · CIK 0001677291 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,581 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 2010 Non-Management Compensation and Incentive Plan, as amended (the "2010 Plan"). Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 17:43 UTC |
Sjostrom SharonChief Product Officer
|
Tax withholdingCommon Stock | 599 | $9.50 | $5,690.50 |
DisclosureSEC source: 0001515156-18-000006 · wf-form4_151510579901331.xml · nonDerivative · entry 1 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,241 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"). F2 · balance_after: Since the Form 4 filed by the reporting person on May 12, 2017, the Advanced Emissions Solutions, Inc. 401(k) Plan (the "Plan") executed a non-volitional liquidation of all of the Issuer's securities held in the Plan, including 16,527 shares held in the reporting owner's account. Prior to this complete liquidation, the Plan also executed a non-volitional liquidation of 5 shares from the reporting owner's account for Plan compliance purposes. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 22:49 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 9,878 | $9.50 | $93,841.00 |
DisclosureSEC source: 0001515156-18-000008 · wf-form4_151510614996850.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,417 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 28, 2017 Filed Feb 13, 2018 17:35 UTC |
Sanders Theodore JamesGeneral Counsel
|
OtherCommon Stock | 188 | $9.43 | $1,772.84 |
DisclosureSEC source: 0001700640-18-000002 · wf-form5_151856133338511.xml · nonDerivative · entry 1 Sanders Theodore James · CIK 0001700640 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,293 F1 · kind: The Advanced Emissions Solutions, Inc. 401(k) Plan (the "Plan") executed a non-volitional liquidation of all of the Issuer's securities held in the Plan, including 188 shares held in the reporting owner's account. Read SEC document |
| December 28, 2017 Filed Feb 13, 2018 22:39 UTC |
Hanson RonSVP of Operations of ADA-ES
|
OtherCommon Stock | 664 | $9.43 | $6,261.52 |
DisclosureSEC source: 0001677296-18-000002 · wf-form5_151856156233144.xml · nonDerivative · entry 1 Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,904 F1 · kind: The Advanced Emissions Solutions, Inc. 401(k) Plan (the "Plan") executed a non-volitional liquidation of all of the Issuer's securities held in the Plan, including 664 shares held in the reporting owner's account. F2 · balance_after: Total holdings decreased by 1 share due to an accounting reconciliation. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 17:52 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 18,246 | $9.86 | $179,859.95 |
DisclosureSEC source: 0001515156-17-000128 · wf-form4_151337834484290.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: 1,286,334 F2 · 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 13, 2017 Filed Dec 15, 2017 17:52 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 244,020 | $9.89 | $2,413,284.59 |
DisclosureSEC source: 0001515156-17-000128 · wf-form4_151337834484290.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: 1,268,088 F1 · price: This price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.8001 to $9.9000, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4. F2 · 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 06, 2017 Filed Dec 8, 2017 17:18 UTC |
GABBARD ALAN BRADLEYDirector
|
SaleCommon Stock | 10,000 | $8.17 | $81,717.00 |
DisclosureSEC source: 0001515156-17-000125 · wf-form4_151277151748896.xml · nonDerivative · entry 1 GABBARD ALAN BRADLEY · CIK 0001229856 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,480 F1 · price: This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.1500 to $8.2250, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 22:54 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 3,997 | $11.42 | $45,645.74 |
DisclosureSEC source: 0001515156-17-000106 · wf-form4_150836727619922.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,295 Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:22 UTC |
GABBARD ALAN BRADLEYDirector
|
GrantCommon Stock | 4,842 | $0.00 | $0.00 |
DisclosureSEC source: 0001229856-17-000006 · wf-form4_149929334920536.xml · nonDerivative · entry 1 GABBARD ALAN BRADLEY · CIK 0001229856 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,480 Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:42 UTC |
Simonton Taylor J.Director
|
GrantCommon Stock | 4,842 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-17-000089 · wf-form4_149929453973153.xml · nonDerivative · entry 1 Simonton Taylor J. · CIK 0001227195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,109 Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:45 UTC |
Johnson DerekDirector
|
GrantCommon Stock | 6,456 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-17-000090 · wf-form4_149929473056082.xml · nonDerivative · entry 1 Johnson Derek · CIK 0001365841 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,000 Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 22:59 UTC |
Pate R CarterDirector
|
GrantCommon Stock | 4,842 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-17-000092 · wf-form4_149929555175902.xml · nonDerivative · entry 1 Pate R Carter · CIK 0001641406 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,054 Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 22:39 UTC |
Wells Louis SpencerDirector
|
GrantCommon Stock | 4,842 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-17-000087 · wf-form4_149929437184214.xml · nonDerivative · entry 1 Wells Louis Spencer · CIK 0001615237 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,065 Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 17:40 UTC |
GABBARD ALAN BRADLEYDirector
|
SaleCommon Stock | 2,000 | $9.21 | $18,426.00 |
DisclosureSEC source: 0001229856-17-000004 · wf-form4_149885883728181.xml · nonDerivative · entry 2 GABBARD ALAN BRADLEY · CIK 0001229856 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,638 Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 17:40 UTC |
GABBARD ALAN BRADLEYDirector
|
SaleCommon Stock | 2,700 | $9.20 | $24,840.00 |
DisclosureSEC source: 0001229856-17-000004 · wf-form4_149885883728181.xml · nonDerivative · entry 1 GABBARD ALAN BRADLEY · CIK 0001229856 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,638 Read SEC document |
| June 26, 2017 Filed Jun 27, 2017 18:55 UTC |
GABBARD ALAN BRADLEYDirector
|
GiftCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001229856-17-000002 · wf-form4_149860410296242.xml · nonDerivative · entry 2 GABBARD ALAN BRADLEY · CIK 0001229856 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,338 Read SEC document |
| June 23, 2017 Filed Jun 27, 2017 18:55 UTC |
GABBARD ALAN BRADLEYDirector
|
SaleCommon Stock | 300 | $9.52 | $2,856.00 |
DisclosureSEC source: 0001229856-17-000002 · wf-form4_149860410296242.xml · nonDerivative · entry 1 GABBARD ALAN BRADLEY · CIK 0001229856 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,838 Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 17:16 UTC |
Marken GregChief Accounting Officer
|
Tax withholdingCommon Stock | 1,599 | $9.49 | $15,174.51 |
DisclosureSEC source: 0001677291-17-000008 · wf-form4_149747496868944.xml · nonDerivative · entry 1 Marken Greg · CIK 0001677291 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,531 Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 23:58 UTC |
Alta Fundamental Advisers LLCDirector
|
Disposition to issuerCommon Stock | 70,178 | $9.40 | $659,673.20 |
DisclosureSEC source: 0001515156-17-000070 · wf-form4_149748471462339.xml · nonDerivative · entry 1 Alta Fundamental Advisers LLC · CIK 0001641604 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,024,068 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 12, 2017 Filed Jun 14, 2017 21:11 UTC |
Hanson RonSVP of Operations of ADA-ES
|
Tax withholdingCommon Stock | 1,599 | $9.49 | $15,174.51 |
DisclosureSEC source: 0001677296-17-000008 · wf-form4_149747468063447.xml · nonDerivative · entry 1 Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,569 Read SEC document |
| May 10, 2017 Filed May 12, 2017 16:32 UTC |
Sjostrom SharonChief Product Officer
|
Disposition to issuerCommon Stock | 6,396 | $0.00 | $0.00 |
DisclosureSEC source: 0001384158-17-000008 · wf-form4_149462111507312.xml · nonDerivative · entry 1 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,372 Read SEC document |
| April 14, 2017 Filed Apr 18, 2017 18:50 UTC |
Marken GregChief Accounting Officer
|
Tax withholdingCommon Stock | 4,797 | $8.19 | $39,287.43 |
DisclosureSEC source: 0001677291-17-000006 · wf-form4_149255580144631.xml · nonDerivative · entry 1 Marken Greg · CIK 0001677291 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,130 Read SEC document |
| April 14, 2017 Filed Apr 18, 2017 18:48 UTC |
Sanders Theodore JamesGeneral Counsel
|
Tax withholdingCommon Stock | 2,709 | $8.19 | $22,186.71 |
DisclosureSEC source: 0001700640-17-000006 · wf-form4_149255570123314.xml · nonDerivative · entry 1 Sanders Theodore James · CIK 0001700640 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,481 Read SEC document |
| April 14, 2017 Filed Apr 18, 2017 22:45 UTC |
Hanson RonSVP of Operations of ADA-ES
|
Tax withholdingCommon Stock | 4,725 | $8.19 | $38,697.75 |
DisclosureSEC source: 0001677296-17-000006 · wf-form4_149255553054419.xml · nonDerivative · entry 1 Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,168 Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 19:31 UTC |
Sanders Theodore JamesGeneral Counsel
|
GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001700640-17-000004 · wf-form4_149065745699795.xml · nonDerivative · entry 1 Sanders Theodore James · CIK 0001700640 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,190 F1 · shares: Represents Restricted Stock issued pursuant to the Long Term Incentive Plan ("LTIP") under the Advanced Emissions Solutions, Inc. Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 19:40 UTC |
Marken GregChief Accounting Officer
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001677291-17-000004 · wf-form4_149065803323658.xml · nonDerivative · entry 1 Marken Greg · CIK 0001677291 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,927 F1 · shares: Represents Restricted Stock issued pursuant to the Long Term Incentive Plan ("LTIP") under the Advanced Emissions Solutions, Inc. Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 19:37 UTC |
Sjostrom SharonChief Product Officer
|
GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001384158-17-000006 · wf-form4_149065781484928.xml · nonDerivative · entry 1 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,768 F1 · shares: Represents Restricted Stock issued pursuant to the Long Term Incentive Plan ("LTIP") under the Advanced Emissions Solutions, Inc. Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 23:45 UTC |
Sampson L HeathDirector · President & CEO
|
GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618774-17-000009 · wf-form4_149065830525993.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,292 F1 · shares: Represents Restricted Stock issued pursuant to the Long Term Incentive Plan ("LTIP") under the Advanced Emissions Solutions, Inc. Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 23:34 UTC |
Hanson RonSVP of Operations of ADA-ES
|
GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001677296-17-000004 · wf-form4_149065766070717.xml · nonDerivative · entry 1 Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,893 F1 · shares: Represents Restricted Stock issued pursuant to the Long Term Incentive Plan ("LTIP") under the Advanced Emissions Solutions, Inc. Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 23:33 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionPerformance Share Units · Derivative | 8,932 | $0.00 | $0.00 |
DisclosureSEC source: 0001618774-17-000007 · wf-form4_148849760549357.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 · 8,932 shares Expires not disclosed 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 · derivative.exercise_price: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,932 performance share units ("PSUs") awarded to the reporting person on August 27, 2014 pursuant to the 2013 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,350 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. F1 · derivative.exercise_date: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,932 performance share units ("PSUs") awarded to the reporting person on August 27, 2014 pursuant to the 2013 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,350 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. F1 · derivative.expiration_date: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,932 performance share units ("PSUs") awarded to the reporting person on August 27, 2014 pursuant to the 2013 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,350 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 23:33 UTC |
Sampson L HeathDirector · President & CEO
|
Tax withholdingCommon Stock | 1,071 | $10.77 | $11,534.67 |
DisclosureSEC source: 0001618774-17-000007 · wf-form4_148849760549357.xml · nonDerivative · entry 2 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,292 Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 23:33 UTC |
Sampson L HeathDirector · President & CEO
|
Exercise / conversionCommon Stock | 3,350 | $0.00 | $0.00 |
DisclosureSEC source: 0001618774-17-000007 · wf-form4_148849760549357.xml · nonDerivative · entry 1 Sampson L Heath · CIK 0001618774 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,363 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 · shares: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 8,932 performance share units ("PSUs") awarded to the reporting person on August 27, 2014 pursuant to the 2013 Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 3,350 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 18:37 UTC |
Sjostrom SharonChief Product Officer
|
Exercise / conversionPerformance Share Units · Derivative | 5,780 | $0.00 | $0.00 |
DisclosureSEC source: 0001384158-17-000004 · wf-form4_148849784983038.xml · derivative · entry 3 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,780 shares Expires not disclosed 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 · derivative.exercise_price: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 5,780 performance share units ("PSUs") awarded to the reporting person on January 3, 2014 (adjusted for the 2:1 stock dividend in March 2014) pursuant to the Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 1,626 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. F1 · derivative.exercise_date: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 5,780 performance share units ("PSUs") awarded to the reporting person on January 3, 2014 (adjusted for the 2:1 stock dividend in March 2014) pursuant to the Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 1,626 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. F1 · derivative.expiration_date: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 5,780 performance share units ("PSUs") awarded to the reporting person on January 3, 2014 (adjusted for the 2:1 stock dividend in March 2014) pursuant to the Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 1,626 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 18:37 UTC |
Sjostrom SharonChief Product Officer
|
Tax withholdingCommon Stock | 606 | $10.77 | $6,526.62 |
DisclosureSEC source: 0001384158-17-000004 · wf-form4_148849784983038.xml · nonDerivative · entry 2 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,768 Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 18:37 UTC |
Sjostrom SharonChief Product Officer
|
Exercise / conversionCommon Stock | 1,626 | $0.00 | $0.00 |
DisclosureSEC source: 0001384158-17-000004 · wf-form4_148849784983038.xml · nonDerivative · entry 1 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,374 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 · shares: On February 28, 2017, the Compensation Committee of the Board of Directors of the issuer determined that of the 5,780 performance share units ("PSUs") awarded to the reporting person on January 3, 2014 (adjusted for the 2:1 stock dividend in March 2014) pursuant to the Long Term Incentive Plan under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), 1,626 PSUs vested based on the achievement of specific performance criteria over a three year performance period ended December 31, 2016. Each vested PSU represents the right to receive one share of the issuer's common stock. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 20:21 UTC |
Alta Fundamental Advisers LLCDirector
Alta Fundamental Advisers SP LLCDirector
|
PurchaseCommon Stock | 231,271 | $9.00 | $2,081,439.00 |
DisclosureSEC source: 0001515156-17-000006 · wf-form4_148530728791340.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: 1,094,246 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. Read SEC document |
| January 12, 2017 Filed Jan 17, 2017 12:58 UTC |
Marken GregChief Accounting Officer
|
Tax withholdingCommon Stock | 1,034 | $9.20 | $9,512.80 |
DisclosureSEC source: 0001677291-17-000002 · wf-form4_148467592243648.xml · nonDerivative · entry 1 Marken Greg · CIK 0001677291 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,427 F1 · shares: Represents the shares withheld to satisfy the statutory tax withholding obligations upon the vesting of 2,774 shares issued under the issuer's Amended and Restated 2010 Non-Management Compensation and Incentive Plan, as amended (the "2010 Plan"). F2 · balance_after: Of the amount shown, 17,773 shares are restricted stock issued pursuant to the 2010 Plan, not fully vested and subject to forfeiture, and 5,000 shares are 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. Total ownership reflects an immaterial correction to the amount previously reported. Read SEC document |
| January 02, 2017 Filed Jan 4, 2017 18:22 UTC |
Sjostrom SharonChief Product Officer
|
Tax withholdingCommon Stock | 70 | $9.24 | $646.80 |
DisclosureSEC source: 0001384158-17-000002 · wf-form4_148357211657090.xml · nonDerivative · entry 3 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,748 F3 · shares: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 189 shares issued under the 2007 Plan, pursuant to the 2015 Long Term Incentive Plan. F4 · balance_after: Of the amount shown, 16,532 shares are held in the qualified pension plan account of the reporting person and 21,609 shares are restricted stock (not fully vested and subject to forfeiture or certain repurchase rights, as applicable, under the 2007 Plan). Read SEC document |
| January 02, 2017 Filed Jan 4, 2017 18:22 UTC |
Sjostrom SharonChief Product Officer
|
Tax withholdingCommon Stock | 528 | $9.24 | $4,878.72 |
DisclosureSEC source: 0001384158-17-000002 · wf-form4_148357211657090.xml · nonDerivative · entry 2 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,818 F2 · shares: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 1,418 shares issued under the 2007 Plan, pursuant to the 2015 Long Term Incentive Plan. Read SEC document |
| January 02, 2017 Filed Jan 4, 2017 18:22 UTC |
Sjostrom SharonChief Product Officer
|
Tax withholdingCommon Stock | 359 | $9.24 | $3,317.16 |
DisclosureSEC source: 0001384158-17-000002 · wf-form4_148357211657090.xml · nonDerivative · entry 1 Sjostrom Sharon · CIK 0001384158 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,346 F1 · shares: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 964 shares issued under the issuer's Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"), pursuant to the 2014 Long Term 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.