ARQ

SEC source: 0001677296-17-000002 · wf-form4_148357198935762.xml · nonDerivative · entry 1

Hanson Ron · CIK 0001677296 · SVP of Operations of ADA-ES

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,893

F1 · shares: Represents 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").

F2 · balance_after: Of 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.

SEC source: 0001618774-17-000002 · wf-form4_148357188103231.xml · nonDerivative · entry 3

Sampson L Heath · CIK 0001618774 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,013

F3 · shares: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 24,000 shares issued under the 2007 Plan, pursuant to the Long Term Incentive Plan.

F4 · balance_after: Of the amount shown, 102,862 shares are restricted stock (not fully vested and subject to forfeiture or certain repurchase rights, as applicable, under the 2007 Plan).

SEC source: 0001618774-17-000002 · wf-form4_148357188103231.xml · nonDerivative · entry 2

Sampson L Heath · CIK 0001618774 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,951

F2 · shares: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 4,861 shares issued under the 2007 Plan, pursuant to the 2015 Long Term Incentive Plan.

SEC source: 0001618774-17-000002 · wf-form4_148357188103231.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,763

F1 · shares: Represents the shares withheld to satisfy the minimum statutory tax withholding obligations upon the vesting of 1,489 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.

SEC source: 0001618774-16-000008 · wf-form4_147682944851980.xml · derivative · entry 4

Sampson L Heath · CIK 0001618774 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 577,998

Underlying: Common Stock · 92,666 shares

Expires 2020-12-31

F4 · price: The options were granted for services to be rendered to the Company by the reporting person.

F3 · derivative.exercise_date: Stock option vesting occurs, if at all, on or after January 1, 2017 upon achievement of certain pre-established goals, in accordance with provisions of the 2007 Plan, and is subject to the reporting person's continuous service with the Company or its related entities unless such shares vest sooner pursuant to Section 11 of the 2007 Plan.

SEC source: 0001618774-16-000008 · wf-form4_147682944851980.xml · derivative · entry 3

Sampson L Heath · CIK 0001618774 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485,332

Underlying: Common Stock · 92,666 shares

Expires 2019-12-31

F4 · price: The options were granted for services to be rendered to the Company by the reporting person.

F3 · derivative.exercise_date: Stock option vesting occurs, if at all, on or after January 1, 2017 upon achievement of certain pre-established goals, in accordance with provisions of the 2007 Plan, and is subject to the reporting person's continuous service with the Company or its related entities unless such shares vest sooner pursuant to Section 11 of the 2007 Plan.

SEC source: 0001618774-16-000008 · wf-form4_147682944851980.xml · derivative · entry 2

Sampson L Heath · CIK 0001618774 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,666

Underlying: Common Stock · 92,666 shares

Expires 2018-12-31

F4 · price: The options were granted for services to be rendered to the Company by the reporting person.

F3 · derivative.exercise_date: Stock option vesting occurs, if at all, on or after January 1, 2017 upon achievement of certain pre-established goals, in accordance with provisions of the 2007 Plan, and is subject to the reporting person's continuous service with the Company or its related entities unless such shares vest sooner pursuant to Section 11 of the 2007 Plan.

SEC source: 0001618774-16-000008 · wf-form4_147682944851980.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,318

F1 · shares: Represents Restricted Stock issued pursuant to the Long Term Incentive Plan ("LTIP") under the Advanced Emissions Solutions, Inc. (the "Company") Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). The Restricted Stock will vest in equal installments on October 16, 2017, October 16, 2018, October 16, 2019 and October 16, 2020 subject to continuous service with the Company or its related entities unless such shares vest sooner pursuant to Section 11 of the 2007 Plan or the reporting person's employment agreement with the Company.

F2 · price: The shares of Restricted Stock were granted for services to be rendered to the Company by the reporting person.