0001515156-24-000013.txt : 20240125 0001515156-24-000013.hdr.sgml : 20240125 20240125163347 ACCESSION NUMBER: 0001515156-24-000013 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230720 FILED AS OF DATE: 20240125 DATE AS OF CHANGE: 20240125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McIntyre Julian Alexander CENTRAL INDEX KEY: 0001963363 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37822 FILM NUMBER: 24562669 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] ORGANIZATION NAME: 08 Industrial Applications and Services 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/A 1 wk-form4a_1706218413.xml FORM 4/A X0508 4/A 2023-07-20 2023-07-24 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 189065 0 D 0 I By MWB Limited Series A Convertible Preferred Stock 2023-07-20 4 D 0 21297 0 D 0 I By Markham Fuels Management Limited Common Stock 2023-07-20 4 A 0 189065 0 A 348632 I By MWB Limited Common Stock 2023-07-20 4 A 0 21297 0 A 39271 I By Markham Fuels Management Limited 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). 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 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. 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. 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. 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. /s/ Julian Alexander McIntyre 2024-01-25