4//SEC Filing
McIntyre Julian Alexander 4
Accession 0001515156-23-000105
CIK 0001515156other
Filed
Jul 23, 8:00 PM ET
Accepted
Jul 24, 6:59 PM ET
Size
11.0 KB
Accession
0001515156-23-000105
Insider Transaction Report
Form 4
McIntyre Julian Alexander
Director
Transactions
- Award
Common Stock
2023-07-20+7,612→ 20,563 total(indirect: By Stannard Limited) - Award
Common Stock
2023-07-20+780,510→ 2,636,370 total(indirect: By Allard Services Limited) - Disposition to Issuer
Series A Convertible Preferred Stock
2023-07-20−780,510→ 0 total(indirect: By Allard Services Limited.) - Disposition to Issuer
Series A Convertible Preferred Stock
2023-07-20−7,612→ 0 total(indirect: By Stannard Limited.)
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 9,964 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 Allard Services Limited. Julian McIntyre, a Director of the Issuer, controls Allard Services Limited and therefore is an indirect beneficial owner of the securities reported herein.
- [F4]This amount includes 97 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 Stannard Limited. Mr. McIntyre's spouse controls Stannard Limited and therefore Mr. McIntyre may be deemed to be an indirect beneficial owner of the securities reported herein.
Documents
Issuer
Advanced Emissions Solutions, Inc.
CIK 0001515156
Entity typeother
Related Parties
1- filerCIK 0001963363
Filing Metadata
- Form type
- 4
- Filed
- Jul 23, 8:00 PM ET
- Accepted
- Jul 24, 6:59 PM ET
- Size
- 11.0 KB