4/A//SEC Filing
McIntyre Julian Alexander 4/A
Accession 0001515156-24-000013
CIK 0001515156other
Filed
Jan 24, 7:00 PM ET
Accepted
Jan 25, 4:33 PM ET
Size
12.2 KB
Accession
0001515156-24-000013
Insider Transaction Report
Form 4/AAmended
McIntyre Julian Alexander
Director
Transactions
- Disposition to Issuer
Series A Convertible Preferred Stock
2023-07-20−189,065→ 0 total(indirect: By MWB Limited) - Award
Common Stock
2023-07-20+189,065→ 348,632 total(indirect: By MWB Limited) - Award
Common Stock
2023-07-20+21,297→ 39,271 total(indirect: By Markham Fuels Management Limited) - Disposition to Issuer
Series A Convertible Preferred Stock
2023-07-20−21,297→ 0 total(indirect: By Markham Fuels Management Limited)
Footnotes (6)
- [F1]On July 24, 2023, the reporting person filed a Form 4 which inadvertendly omitted certain indirect beneficial ownership interests in the issuer's Common Stock and Series A Convertible Preferred Stock. As reported in this amendment, the reporting person indirectly owned additional interests in the issuer's Common Stock and disposed of interests in the issuer's Series A Convertible Preferred Stock through their control of Markham Fuels Management Limited, and control of Allard Services Limited, which controls MWB Limited. This amended filing on Form 4/A reflects the shares obtained by Markham Fuels Management Limited and MWB Limited in the conversion referenced in footnote (1).
- [F2]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]This amount includes 2,414 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]The shares reported on this row are held by MWB Limited, which is controlled by Allard Services Limited. Julian McIntyre, a Director of the Issuer, controls Allard Services Limited and therefore may be deemed to be an indirect beneficial owner of the securities reported herein.
- [F5]This amount includes 272 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.
- [F6]The shares reported on this row are held by Markham Fuels Management Limited. Julian McIntyre, a Director of the Issuer, controls Markham Fuels Management Limited and therefore is 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/A
- Filed
- Jan 24, 7:00 PM ET
- Accepted
- Jan 25, 4:33 PM ET
- Size
- 12.2 KB