0001515156-23-000105.txt : 20230724 0001515156-23-000105.hdr.sgml : 20230724 20230724185904 ACCESSION NUMBER: 0001515156-23-000105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230720 FILED AS OF DATE: 20230724 DATE AS OF CHANGE: 20230724 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McIntyre Julian Alexander CENTRAL INDEX KEY: 0001963363 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37822 FILM NUMBER: 231106094 MAIL ADDRESS: STREET 1: 30A BROOK STREET CITY: LONDON STATE: X0 ZIP: W1K 5DJ ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Advanced Emissions Solutions, Inc. CENTRAL INDEX KEY: 0001515156 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS CHEMICAL PRODUCTS [2890] IRS NUMBER: 275472457 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8051 E. MAPLEWOOD AVE., STE 210 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 BUSINESS PHONE: 720-598-3500 MAIL ADDRESS: STREET 1: 8051 E. MAPLEWOOD AVE., STE 210 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 4 1 wk-form4_1690239536.xml FORM 4 X0508 4 2023-07-20 0 0001515156 Advanced Emissions Solutions, Inc. ADES 0001963363 McIntyre Julian Alexander C/O ADVANCED EMISSIONS SOLUTIONS, INC. 8051 E. MAPLEWOOD AVENUE, SUITE 210 GREENWOOD VILLAGE CO 80111 1 0 0 0 0 Series A Convertible Preferred Stock 2023-07-20 4 D 0 780510 0 D 0 I By Allard Services Limited. Series A Convertible Preferred Stock 2023-07-20 4 D 0 7612 0 D 0 I By Stannard Limited. Common Stock 2023-07-20 4 A 0 780510 0 A 2636370 I By Allard Services Limited Common Stock 2023-07-20 4 A 0 7612 0 A 20563 I By Stannard Limited 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. 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. 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. 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. 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. /s/ Julian Alexander McIntyre 2023-07-24