Campbell-Breeden Richard

SEC source: 0001515156-26-000090 · wk-form4_1783373531.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,151

F1 · shares: Represents restricted stock awards granted in exchange for the reporting owner's service as a non-employee director of the Issuer. The restricted stock awards shall vest on July 1, 2027.

SEC source: 0001515156-26-000030 · wk-form4_1774384208.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 404,786

F1 · price: This price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.140 to $2.285, 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 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-25-000147 · wk-form4_1763040630.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 254,786

F1 · price: This price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.49 to $3.62, 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 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-25-000096 · wk-form4_1751576466.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,868

F1 · shares: Represents restricted stock awards granted in exchange for the reporting owner's service as a non-employee director of the Issuer. The restricted stock awards shall vest on July 1, 2026.

SEC source: 0001515156-25-000074 · wk-form4_1748378721.xml · nonDerivative · entry 2

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 226,148

F1 · kind: The reported transaction represents a privately negotiated purchase of 75,000 shares of common stock of the Issuer from another non-affiliated holder of the Issuer's common stock at the negotiated price of $4.10 per share.

F2 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-24-000183 · wk-form4_1732743262.xml · nonDerivative · entry 2

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,764

F1 · price: Pursuant to a special resolution, passed by the shareholders of Arq Limited on June 17, 2024 and for the purpose of effecting the wind-down of Arq Limited as contemplated by the Securities Purchase Agreement, dated February 1, 2023, by and between Arq, Inc. (f/k/a Advanced Emissions Solutions, Inc.) (the "Issuer") and Arq Limited, on November 26, 2024, Arq Limited distributed its remaining held shares of the Issuer's common stock, par value $0.001 per share, to its shareholders. The shares were distributed without the payment of any additional consideration.

SEC source: 0001515156-24-000183 · wk-form4_1732743262.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 151,148

F1 · price: Pursuant to a special resolution, passed by the shareholders of Arq Limited on June 17, 2024 and for the purpose of effecting the wind-down of Arq Limited as contemplated by the Securities Purchase Agreement, dated February 1, 2023, by and between Arq, Inc. (f/k/a Advanced Emissions Solutions, Inc.) (the "Issuer") and Arq Limited, on November 26, 2024, Arq Limited distributed its remaining held shares of the Issuer's common stock, par value $0.001 per share, to its shareholders. The shares were distributed without the payment of any additional consideration.

F2 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-24-000123 · wk-form4_1720042512.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,056

SEC source: 0001515156-23-000104 · wk-form4_1690239469.xml · nonDerivative · entry 4

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 142,542

F1 · kind: The shares of Series A Convertible Preferred Stock converted to an equal number of shares of the Issuer's Common Stock upon the approval by the holders of the percentage of Common Stock required to approve such conversion under the applicable rules of The Nasdaq Stock Market, without the need for any action on the part of the holders of the Series A Convertible Preferred Stock.

F4 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-23-000104 · wk-form4_1690239469.xml · nonDerivative · entry 3

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,040

F1 · kind: The shares of Series A Convertible Preferred Stock converted to an equal number of shares of the Issuer's Common Stock upon the approval by the holders of the percentage of Common Stock required to approve such conversion under the applicable rules of The Nasdaq Stock Market, without the need for any action on the part of the holders of the Series A Convertible Preferred Stock.

SEC source: 0001515156-23-000104 · wk-form4_1690239469.xml · nonDerivative · entry 2

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 0

F1 · kind: The shares of Series A Convertible Preferred Stock converted to an equal number of shares of the Issuer's Common Stock upon the approval by the holders of the percentage of Common Stock required to approve such conversion under the applicable rules of The Nasdaq Stock Market, without the need for any action on the part of the holders of the Series A Convertible Preferred Stock.

F3 · shares: This amount includes 622 shares of Series A Convertible Preferred Stock received on April 21, 2023, as dividends paid in-kind for the first quarter of 2023, which acquisition was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

F4 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-23-000104 · wk-form4_1690239469.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The shares of Series A Convertible Preferred Stock converted to an equal number of shares of the Issuer's Common Stock upon the approval by the holders of the percentage of Common Stock required to approve such conversion under the applicable rules of The Nasdaq Stock Market, without the need for any action on the part of the holders of the Series A Convertible Preferred Stock.

F2 · shares: This amount includes 51 shares of Series A Convertible Preferred Stock received on April 21, 2023, as dividends paid in-kind for the first quarter of 2023, which acquisition was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 thereunder.

SEC source: 0001515156-23-000081 · wk-form4_1688598680.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,028

SEC source: 0001515156-23-000032 · wf-form4_167875064452153.xml · nonDerivative · entry 4

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 48,077

F1 · kind: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

F1 · price: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

F3 · balance_after: Each share of Series A Preferred Stock will be automatically converted into a share of Common Stock upon approval by the holders of the percentage of Common Stock required to approve such conversion under the applicable rules of The Nasdaq Stock Market, without the need for any action on the part of the holders of the Series A Preferred Stock (the "Conversion Approval"). Each share of Series A Preferred Stock is deemed to have an original issue price of $4.00 per share (the "Original Issue Amount"). The number of shares of Common Stock issued upon conversion of each share of Series A Preferred Stock shall be equal to the product of (i) the sum of (A) the Original Issue Amount plus (B) an amount equal to the cumulative amount of the accrued and unpaid dividends on such share at such time (regardless of whether or not declared or funds for their payment are lawfully available) divided by (ii) the Original Issue Amount, subject to adjustment as provided in the Certificate of Designations.

F2 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-23-000032 · wf-form4_167875064452153.xml · nonDerivative · entry 3

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,961

F1 · kind: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

F1 · price: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

F3 · balance_after: Each share of Series A Preferred Stock will be automatically converted into a share of Common Stock upon approval by the holders of the percentage of Common Stock required to approve such conversion under the applicable rules of The Nasdaq Stock Market, without the need for any action on the part of the holders of the Series A Preferred Stock (the "Conversion Approval"). Each share of Series A Preferred Stock is deemed to have an original issue price of $4.00 per share (the "Original Issue Amount"). The number of shares of Common Stock issued upon conversion of each share of Series A Preferred Stock shall be equal to the product of (i) the sum of (A) the Original Issue Amount plus (B) an amount equal to the cumulative amount of the accrued and unpaid dividends on such share at such time (regardless of whether or not declared or funds for their payment are lawfully available) divided by (ii) the Original Issue Amount, subject to adjustment as provided in the Certificate of Designations.

SEC source: 0001515156-23-000032 · wf-form4_167875064452153.xml · nonDerivative · entry 2

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Omeshorn Holdings Limited.

Disclosed balance after: 93,843

F1 · kind: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

F1 · price: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

F2 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.

SEC source: 0001515156-23-000032 · wf-form4_167875064452153.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,386

F1 · kind: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

F1 · price: Pursuant to that certain Share Buy Back Agreement, by and among Arq Limited and certain of its shareholders (the "Share Buy Back Agreement"), Arq Limited distributed shares of Common Stock, par value $0.001 per share (the "Common Stock") and shares of Series A Preferred Convertible Stock, par value $0.001 per share (the "Series A Preferred Stock"), to such shareholders in exchange for ordinary shares of Arq Limited held by such shareholders, in connection with the acquisition of Arq Limited by the Issuer. Pursuant to the Share Buy Back Agreement, certain shareholders of Arq Limited sold in the aggregate 90% of their ordinary shares in Arq and received in the aggregate 9.78 shares of Common Stock and 11.44 shares of Preferred Stock as consideration for every 1,000 ordinary shares in Arq sold (rounded down to the nearest whole share). The shares of the Issuer distributed in exchange for Arq Limited ordinary shares were valued at $4.00 per share.

SEC source: 0001515156-23-000015 · wf-form4_167546823108726.xml · nonDerivative · entry 1

Campbell-Breeden Richard · CIK 0001963344 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 52,742

F1 · ownership.nature: The shares reported on this row are held by Omeshorn Holdings Ltd. Richard Campbell-Breeden, a Director of the Issuer, is a Director of Omeshorn Holdings Ltd. and therefore is an indirect beneficial owner of the securities reported herein.