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Filing Details

Accession Number:: 0001515156-14-000004
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-01-07 17:05:54
Reporting Period:: 2014-01-03

Filing Date:: 2014-01-07
Accepted Time:: 2014-01-07 17:05:54
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1515156	Advanced Emissions Solutions Inc.	ADES	Miscellaneous Chemical Products (2890)	275472457

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1217726	R Jonathan Lagarenne	C/O Ada-Es, Inc. 9135 S. Ridgeline Blvd., Suite 200 Highlands Ranch CO 80129	Executive Vice President	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2014-01-03	2,198	$53.00	18,247	No	4	A	Direct
Common Stock	Disposition	2014-01-03	569	$53.00	17,678	No	4	F	Direct
Common Stock	Disposition	2014-01-03	1,037	$53.00	16,641	No	4	F	Direct
Common Stock	Disposition	2014-01-03	1,000	$54.07	15,641	No	4	S	Direct
Common Stock	Disposition	2014-01-03	1,000	$54.10	14,641	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	F	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Performance Share Units	Acquisiton	2014-01-03	4,396	$0.00	4,396	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
11,626			No	4	A	Direct

Footnotes

Represents Restricted Stock issued pursuant to the Advanced Emissions Solutions, Inc. Amended and Restated 2007 Equity Incentive Plan, as amended (the "2007 Plan"). The Restricted Stock will vest in equal installments on January 2, 2015, January 2, 2016 and January 2, 2017 subject to continuous services with Advanced Emissions Solutions, Inc. or its related entities unless such shares vest sooner pursuant to Section 11 of the 2007 Plan.
Closing stock price at date of grant.
Payment of the tax liability by delivery of stock incident to the vesting on January 2, 2014 of 636 shares of Restricted Stock.
Fair market value of the shares upon vesting is based on closing price of common stock on January 2, 2014.
Payment of the tax liability by delivery of stock incident to the vesting on January 2, 2014 of 963 shares of Restricted Stock.
Shares sold pursuant to an existing 10b5-1(c) plan.
Of the amount shown, 184 shares are held in the qualified pension plan account of the reporting person and 12,608 shares were issued pursuant to the programs under the 2007 Plan, are not fully vested and are subject to certain repurchase rights.
Each Performance Share Unit represents a contingent right to receive one share of the Company's common stock.
Represents the maximum number of Performance Share Units that will vest, if at all, which is 200% of the target payout of 2,198 shares.
Vesting of the Performance Share Units, if at all, will occur on January 2, 2017, subject to continuous service and the achievement of certain pre-established goals to be measured as of December 31, 2016, unless such units vest sooner at the target amount pursuant to Section 11 of the 2007 Plan.