Insider · CIK 0001325956

Swanson Richard John

Reports to the SEC for 4 companies · DENVER, CO

sec.gov

Transactions

Companies

Filings

CIK

0001325956

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2014-01-24	ARQArq, Inc.A Award	Director	AAward	+32 sh	$44.29	+$1,417.28	17,855
2013-07-17	ARQArq, Inc.A Award	Director	AAward	+1,159 sh	$41.00	+$47.5K	17,823
2013-01-18	ADA-ES INCA Award	Director	AAward	+1,964 sh	$24.18	+$47.5K	16,664
2012-03-20	ADA-ES INCS Sale	Director	SSale	−1,000 sh	$25.15	−$25.2K	16,700
2012-03-20	ADA-ES INCS Sale	Director	SSale	−700 sh	$25.24	−$17.7K	17,700
2012-03-20	ADA-ES INCS Sale	Director	SSale	−300 sh	$25.17	−$7,550.4	18,400
2012-03-20	ADA-ES INCS Sale	Director	SSale	−1,000 sh	$25.06	−$25.1K	14,700
2012-03-20	ADA-ES INCS Sale	Director	SSale	−1,000 sh	$25.17	−$25.2K	15,700
2012-02-14	ADA-ES INCA Award	Director	AAward	+120 sh	$20.90	+$2,508	18,700
2012-01-04	ASTIAscent Solar Technologies, Inc.A Award	Director	AAward	+153K sh	—	—	182,844
2011-12-19	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,836 sh	—	—	0
2011-12-19	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+4,836 sh	—	—	29,428
2011-09-19	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,836 sh	—	—	4,836
2011-09-19	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+4,836 sh	—	—	24,592
2011-07-13	ADA-ES INCA Award	Director	AAward	+3,352 sh	$17.52	+$58.7K	18,580
2011-07-13	ADA-ES INCA Award	Director	AAward	+3,352 sh	$17.52	+$58.7K	18,580
2011-07-13	ADA-ES INCA Award	Director	AAward	+3,352 sh	$17.52	+$58.7K	30,075
2011-06-20	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,836 sh	—	—	9,672
2011-06-20	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+4,836 sh	—	—	19,756
2011-04-07	ADA-ES INCS Sale	Director	SSale	−2,300 sh	$23.70	−$54.5K	15,228
2011-04-06	ADA-ES INCS Sale	Director	SSale	−305 sh	$23.70	−$7,228.5	17,528
2011-04-01	ADA-ES INCS Sale	Director	SSale	−7,965 sh	$21.90	−$174K	18,758
2011-04-01	ADA-ES INCS Sale	Director	SSale	−200 sh	$21.97	−$4,394	18,558
2011-04-01	ADA-ES INCS Sale	Director	SSale	−625 sh	$21.96	−$13.7K	17,933
2011-04-01	ADA-ES INCS Sale	Director	SSale	−100 sh	$21.98	−$2,198	17,833
2011-03-21	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,836 sh	—	—	14,508
2011-03-21	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+4,836 sh	—	—	14,920
2011-02-04	ADA-ES INCA Award	Director	AAward	+4,094 sh	$12.12	+$49.6K	26,723
2011-02-03	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsA Award	Director	AAward	+2,084 sh	—	—	19,344
2011-01-04	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsA Award	Director	AAward	+17.3K sh	—	—	17,260
2010-12-31	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+2,735 sh	—	—	10,084
2010-12-31	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−2,735 sh	—	—	0
2010-09-30	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−2,735 sh	—	—	2,735
2010-09-30	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+2,735 sh	—	—	7,349
2010-09-20	ADA-ES INCA Award	Director	AAward	+2,446 sh	$6.28	+$15.4K	22,629
2010-06-30	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+2,735 sh	—	—	4,614
2010-06-30	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−2,735 sh	—	—	5,470
2010-06-29	ADA-ES INCA Award	Director	AAward	+2,292 sh	$5.20	+$11.9K	20,183
2010-04-07	ASTIAscent Solar Technologies, Inc.S Sale	Director	SSale	−1,690 sh	$3.95	−$6,675.5	1,879
2010-04-05	ASTIAscent Solar Technologies, Inc.S Sale	Director	SSale	−1,706 sh	$3.95	−$6,738.7	3,569
2010-03-31	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	+2,735 sh	—	—	8,205
2010-03-31	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+2,735 sh	—	—	5,275
2010-03-29	ASTIAscent Solar Technologies, Inc.S Sale	Director	SSale	−5,000 sh	$3.93	−$19.6K	2,540
2010-03-26	ASTIAscent Solar Technologies, Inc.S Sale	Director	SSale	−3,249 sh	$3.87	−$12.6K	13,291
2010-03-26	ASTIAscent Solar Technologies, Inc.S Sale	Director	SSale	−5,751 sh	$3.82	−$22K	7,540
2010-01-27	ADA-ES INCA Award	Director	AAward	+4,122 sh	$6.17	+$25.4K	17,891
2010-01-01	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsA Award	Director	AAward	+10.9K sh	—	—	10,940
2009-12-31	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−3,856 sh	—	—	0
2009-12-31	ASTIAscent Solar Technologies, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+3,856 sh	—	—	16,540
2009-09-30	ASTIAscent Solar Technologies, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−3,856 sh	—	—	3,856

Recent filings

Accepted (ET)
Jan 274
Advanced Emissions Solutions, Inc.0001515156-14-000015
SEC(opens sec.gov)
Jul 184
Advanced Emissions Solutions, Inc.0001515156-13-000009
SEC(opens sec.gov)
Jan 224
Swanson Richard John0001223112-13-000010
SEC(opens sec.gov)
Mar 234
ADA-ES INC0001223112-12-000045
SEC(opens sec.gov)
Feb 164
ADA-ES INC0001223112-12-000039
SEC(opens sec.gov)
Jan 64
Swanson Richard John0001181431-12-001661
SEC(opens sec.gov)
Dec 214
Swanson Richard John0001181431-11-061480
SEC(opens sec.gov)
Sep 204
Swanson Richard John0001181431-11-049918
SEC(opens sec.gov)
Aug 184/A
ADA-ES INC0001223112-11-000063
SEC(opens sec.gov)
Aug 184/A
ADA-ES INC0001223112-11-000069
SEC(opens sec.gov)
Jul 154
ADA-ES INC0001223112-11-000060
SEC(opens sec.gov)
Jun 224
Swanson Richard John0001181431-11-037846
SEC(opens sec.gov)
Apr 84
ADA-ES INC0001223112-11-000051
SEC(opens sec.gov)

Companies

Address

PO BOX 27090

DENVER, CO, 80227