Sampson L Heath

SEC source: 0001437749-24-036174 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,344

F1 · shares: Number of shares of common stock withheld to satisfy the reporting person's tax withholding obligations upon vesting of a previously reported restricted stock unit award.

SEC source: 0001437749-24-005274 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,650

Underlying: Common Stock · 18,650 shares

Expires 2027-02-14

F2 · derivative.exercise_price: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by percentages from 50% to 200% that corresponds to targeted (i) Adjusted EBITDA performance (weighted at 40%) with percentage thresholds to be measured against 2026 Company performance within a range from 80% to 120% of target, and (ii) total shareholder return ("TSR") performance (weighted at 60%) with percentage thresholds measured over the three-year period ending December 31, 2026 and based on the percentile-ranking of the Company's TSR relative to the TSR of the Company's identified peer group and ranges from the 50th percentile to the 100th percentile, subject in each instance to the reporting person's continued employment through February 14, 2027. The number of shares of common stock reported assumes an Adjusted EBITDA and relative TSR performance target achieved that corresponds to an aggregate 100% payout level.

F2 · shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by percentages from 50% to 200% that corresponds to targeted (i) Adjusted EBITDA performance (weighted at 40%) with percentage thresholds to be measured against 2026 Company performance within a range from 80% to 120% of target, and (ii) total shareholder return ("TSR") performance (weighted at 60%) with percentage thresholds measured over the three-year period ending December 31, 2026 and based on the percentile-ranking of the Company's TSR relative to the TSR of the Company's identified peer group and ranges from the 50th percentile to the 100th percentile, subject in each instance to the reporting person's continued employment through February 14, 2027. The number of shares of common stock reported assumes an Adjusted EBITDA and relative TSR performance target achieved that corresponds to an aggregate 100% payout level.

F2 · derivative.exercise_date: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by percentages from 50% to 200% that corresponds to targeted (i) Adjusted EBITDA performance (weighted at 40%) with percentage thresholds to be measured against 2026 Company performance within a range from 80% to 120% of target, and (ii) total shareholder return ("TSR") performance (weighted at 60%) with percentage thresholds measured over the three-year period ending December 31, 2026 and based on the percentile-ranking of the Company's TSR relative to the TSR of the Company's identified peer group and ranges from the 50th percentile to the 100th percentile, subject in each instance to the reporting person's continued employment through February 14, 2027. The number of shares of common stock reported assumes an Adjusted EBITDA and relative TSR performance target achieved that corresponds to an aggregate 100% payout level.

F2 · derivative.underlying_shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by percentages from 50% to 200% that corresponds to targeted (i) Adjusted EBITDA performance (weighted at 40%) with percentage thresholds to be measured against 2026 Company performance within a range from 80% to 120% of target, and (ii) total shareholder return ("TSR") performance (weighted at 60%) with percentage thresholds measured over the three-year period ending December 31, 2026 and based on the percentile-ranking of the Company's TSR relative to the TSR of the Company's identified peer group and ranges from the 50th percentile to the 100th percentile, subject in each instance to the reporting person's continued employment through February 14, 2027. The number of shares of common stock reported assumes an Adjusted EBITDA and relative TSR performance target achieved that corresponds to an aggregate 100% payout level.

F2 · balance_after: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by percentages from 50% to 200% that corresponds to targeted (i) Adjusted EBITDA performance (weighted at 40%) with percentage thresholds to be measured against 2026 Company performance within a range from 80% to 120% of target, and (ii) total shareholder return ("TSR") performance (weighted at 60%) with percentage thresholds measured over the three-year period ending December 31, 2026 and based on the percentile-ranking of the Company's TSR relative to the TSR of the Company's identified peer group and ranges from the 50th percentile to the 100th percentile, subject in each instance to the reporting person's continued employment through February 14, 2027. The number of shares of common stock reported assumes an Adjusted EBITDA and relative TSR performance target achieved that corresponds to an aggregate 100% payout level.

SEC source: 0001437749-24-005274 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,399

F1 · shares: Represents restricted stock units scheduled to vest as follows: (i) 4,144 shares will vest on February 14, 2025, (ii) 4,145 shares will vest on February 14, 2026 and (iii) 4,144 shares will vest on February 14, 2027, in each case, subject to the reporting person's continued employment.

SEC source: 0001437749-23-026311 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,966

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions ranging from $34.46 to $34.75, 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 footnote.

SEC source: 0001437749-23-025212 · rdgdoc.xml · derivative · entry 2

Sampson L Heath · CIK 0001618774 · Director · President, CEO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,635

Underlying: Common Stock · 26,635 shares

Expires 2026-08-31

F2 · derivative.exercise_price: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of August 31, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F2 · shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of August 31, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F2 · derivative.exercise_date: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of August 31, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F2 · derivative.underlying_shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of August 31, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F2 · balance_after: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of August 31, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

SEC source: 0001437749-23-025212 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Director · President, CEO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,466

F1 · shares: Represents restricted stock units scheduled to vest as follows: (i) 5,919 shares will vest on August 31, 2024, (ii) 5,919 shares will vest on August 31, 2025 and (iii) 5,919 shares will vest on August 31, 2026, in each case, subject to the reporting person's continued employment.

SEC source: 0001437749-23-015715 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Director · President, CEO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,709

SEC source: 0001437749-23-005800 · rdgdoc.xml · derivative · entry 1

Sampson L Heath · CIK 0001618774 · Director · President, CEO, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022

Underlying: Common Stock · 1,022 shares

Expires 2026-03-06

F1 · derivative.exercise_price: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of March 6, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F1 · shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of March 6, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F1 · derivative.exercise_date: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of March 6, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F1 · derivative.underlying_shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of March 6, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

F1 · balance_after: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified revenue and Adjusted EBITDA thresholds measured by reference to the issuer's audited financial statements for its fiscal year ending December 31, 2025, subject to the reporting person's continued employment through the vesting date of March 6, 2026. The number of shares of common stock reported assumes a revenue and Adjusted EBITDA performance target achieved that corresponds to a 100% payout level.

SEC source: 0001437749-23-004914 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Director · President, CEO, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,709

F1 · shares: Number of shares of common stock withheld to satisfy the reporting person's tax withholding obligations upon vesting of previously reported restricted stock unit award.

SEC source: 0001437749-23-003049 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Director · President, CEO, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,984

F1 · shares: Number of shares of common stock withheld to satisfy the reporting person's tax withholding obligations upon vesting of previously reported restricted stock unit award.

SEC source: 0001437749-22-028049 · rdgdoc.xml · derivative · entry 3

Sampson L Heath · CIK 0001618774 · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,147

Underlying: Common Stock · Not disclosed shares

Expires 2025-11-21

F3 · derivative.exercise_price: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified share price thresholds measured by reference to a volume-weighted average price (VWAP) of the issuer's common stock over a specified period of trading days prior to the expiration date of the award, subject to the reporting person's continued employment.

F3 · derivative.exercise_date: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified share price thresholds measured by reference to a volume-weighted average price (VWAP) of the issuer's common stock over a specified period of trading days prior to the expiration date of the award, subject to the reporting person's continued employment.

F3 · derivative.underlying_shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified share price thresholds measured by reference to a volume-weighted average price (VWAP) of the issuer's common stock over a specified period of trading days prior to the expiration date of the award, subject to the reporting person's continued employment.

SEC source: 0001437749-22-028049 · rdgdoc.xml · derivative · entry 2

Sampson L Heath · CIK 0001618774 · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,579

Underlying: Common Stock · 1,579 shares

Expires 2027-11-21

F2 · derivative.exercise_date: Option becomes exercisable with respect to: (1) 526 shares on November 21, 2023, (2) 527 shares on November 21, 2024 and (3) 526 shares on November 21, 2025, in each case, subject to the reporting person's continued employment.

SEC source: 0001437749-22-028049 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,234

F1 · shares: Represents restricted stock units scheduled to vest as follows: (1) 191 shares will vest on November 21, 2023, (2) 191 shares will vest on November 21, 2024 and (3) 191 shares will vest on November 21, 2025, in each case, subject to the reporting person's continued employment.

SEC source: 0001437749-22-013272 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,661

F1 · shares: Number of shares of common stock withheld to satisfy the reporting person's tax withholding obligations upon vesting of previously reported restricted stock unit award.

SEC source: 0001437749-22-003049 · rdgdoc.xml · derivative · entry 3

Sampson L Heath · CIK 0001618774 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,401

Underlying: Common Stock · Not disclosed shares

Expires 2025-02-08

F3 · derivative.exercise_price: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified share price thresholds measured by reference to a volume-weighted average price (VWAP) of the issuer's common stock over a specified period of trading days prior to the expiration date of the award, subject to the reporting person's continued employment.

F3 · derivative.exercise_date: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified share price thresholds measured by reference to a volume-weighted average price (VWAP) of the issuer's common stock over a specified period of trading days prior to the expiration date of the award, subject to the reporting person's continued employment.

F3 · derivative.underlying_shares: Represents the contingent right to receive a number of shares of issuer common stock determined by multiplying the number of performance units by a percentage from 50% to 200% that corresponds to specified share price thresholds measured by reference to a volume-weighted average price (VWAP) of the issuer's common stock over a specified period of trading days prior to the expiration date of the award, subject to the reporting person's continued employment.

SEC source: 0001437749-22-003049 · rdgdoc.xml · derivative · entry 2

Sampson L Heath · CIK 0001618774 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,733

Underlying: Common Stock · 6,733 shares

Expires 2027-02-08

F2 · derivative.exercise_date: Option becomes exercisable with respect to: (1) 2,244 shares on February 8, 2023, (2) 2,245 shares on February 8, 2024 and (3) 2,244 shares on February 8, 2025, in each case, subject to the reporting person's continued employment.

SEC source: 0001437749-22-003049 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,978

F1 · shares: Represents restricted stock units scheduled to vest as follows: (1) 733 shares will vest on February 8, 2023, (2) 734 shares will vest on February 8, 2024 and (3) 733 shares will vest on February 8, 2025, in each case, subject to the reporting person's continued employment.

SEC source: 0001437749-21-004709 · rdgdoc.xml · derivative · entry 2

Sampson L Heath · CIK 0001618774 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,368

Underlying: Common Stock · 9,368 shares

Expires 2026-02-26

F2 · derivative.exercise_date: This option will become fully exercisable as follows: (1) 3,123 options will vest on February 26, 2022, (2) 3,122 options will vest on February 26, 2023, and (3) 3,123 options will vest on February 26, 2024, in each case, subject to Mr. Sampson's continued employment.

SEC source: 0001437749-21-004709 · rdgdoc.xml · nonDerivative · entry 1

Sampson L Heath · CIK 0001618774 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,778

F1 · shares: Represents restricted stock units scheduled to vest as follows: (1) 926 shares will vest on February 26, 2022, (2) 926 shares will vest on February 26, 2023, and (3) 926 shares will vest on February 26, 2024, in each case, subject to Mr. Sampson's continued employment.

SEC source: 0001515156-20-000027 · wf-form4_158517611316720.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,726

Underlying: Common Stock · 47,726 shares

Expires 2023-03-10

F1 · derivative.exercise_price: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2023 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2022.

F2 · shares: Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.

F1 · derivative.exercise_date: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2023 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2022.

F1 · derivative.expiration_date: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2023 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2022.

F2 · derivative.underlying_shares: Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.

F2 · balance_after: Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.

SEC source: 0001515156-20-000027 · wf-form4_158517611316720.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,905

SEC source: 0001515156-20-000027 · wf-form4_158517611316720.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,409

SEC source: 0001515156-19-000094 · wf-form4_157143864984264.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,545

F1 · shares: Represents the shares withheld to satisfy the statutory tax withholding obligations upon the vesting of restricted stock issued under the issuer's Amended and Restated 2007 Equity Incentive Plan.

SEC 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.

SEC 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.

SEC 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").

SEC 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.

SEC 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.

SEC 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.

SEC 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").

SEC 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").

SEC 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.

SEC 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

SEC 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.

SEC 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.

SEC 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.

SEC 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

SEC 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.

SEC 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").

SEC 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

SEC 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").

SEC 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.

SEC 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

SEC 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.

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.