4//SEC Filing
Blank Jeremy 4
Accession 0001515156-23-000103
CIK 0001515156other
Filed
Jul 23, 8:00 PM ET
Accepted
Jul 24, 6:56 PM ET
Size
11.3 KB
Accession
0001515156-23-000103
Insider Transaction Report
Form 4
Blank Jeremy
Director
Transactions
- Disposition to Issuer
Series A Convertible Preferred Stock
2023-07-20−23,466→ 0 total(indirect: By Community SPV GP LP.) - Award
Common Stock
2023-07-20+23,466→ 43,270 total(indirect: By Community SPV GP LP.) - Disposition to Issuer
Series A Convertible Preferred Stock
2023-07-20−747,196→ 0 total(indirect: By YGF 100 LP.) - Award
Common Stock
2023-07-20+747,196→ 1,855,388 total(indirect: By YGF 100 LP.)
Footnotes (5)
- [F1]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]This amount includes 9,539 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.
- [F3]The shares reported on this row are held by YGF 100 LP ("YGF"). Jeremy Blank, a Director of the Issuer, is the ultimate control person of YGF. Mr. Blank is an investor in YGF and therefore is an indirect beneficial owner of a portion of these shares. Mr. Blank disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- [F4]This amount includes 300 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.
- [F5]The shares reported on this row are held by Community SPV GP LP. Mr. Blank is the ultimate control person of Community SPV GP LP. Mr. Blank is an investor in Community SPV GP LP and therefore is an indirect beneficial owner of a portion of these shares. Mr. Blank disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
Documents
Issuer
Advanced Emissions Solutions, Inc.
CIK 0001515156
Entity typeother
Related Parties
1- filerCIK 0001962987
Filing Metadata
- Form type
- 4
- Filed
- Jul 23, 8:00 PM ET
- Accepted
- Jul 24, 6:56 PM ET
- Size
- 11.3 KB