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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DURHAM MICHAEL D C/O ADVANCED EMISSIONS SOLUTIONS, INC. 9135 S. RIDGELINE BLVD., STE 200 HIGHLANDS RANCH, CO 80129 |
X | President and CEO |
/s/ Christine B. Amrhein, by power of attorney | 02/17/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The original Form 4 filing incorrectly reported a sale on January 13, 2014 by the reporting person of 3,300 shares that were instead sold by a trust to which the reporting person originally gifted such shares on August 20, 2013. Such sale by the trust was not a reportable transaction. The total ownership figure is also corrected from previous filings to reflect gifts of shares made by the reporting person between April 2012 and November 2013, including the gift mentioned above, the details of which are reported on a Form 5 for the fiscal year ended December 31, 2014 filed on the same date as this amendment. (Continued in Footnote 2) |
(2) | Of the amount shown, 56,432 shares are held in the qualified pension plan account of the reporting person, which number was incorrectly reported on previous filngs by 72 shares due to an administrative error that occurred in February 2009. Additionally, of the amount shown, 25,686 shares were issued pursuant to a program under the Company's Amended and Restated 2007 Equity Incentive Plan, as amended, are not fully vested and are subject to certain repurchase rights. All share amounts in this amended Form 4 are reported on a pre-stock split basis; the 2 for 1 stock split occurred on March 14, 2014. |
(3) | The previous filing incorrectly omitted shares indirectly held by the reporting person. |