Home > Insider Trading > Filing (0001515156-23-000013)

Filing Details

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
1962987	Jeremy Blank	C/O Advanced Emissions Solutions, Inc. 8051 E. Maplewood Avenue, Suite 210 Greenwood Village CO 80111		Yes	No	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2023-02-01	631,866	$4.00	631,866	No	4	P	Indirect	See footnote.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See footnote.

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants (right to buy)	Acquisiton	2023-02-01	1	$0.00	325,457	$0.01

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1	2023-02-01	2030-02-01	No	4	J	Indirect

Footnotes

The shares reported on this row are held by YGF 100 LP. Jeremy Blank, a Director of the Issuer, is the general partner of YGF 100 LP. Mr. Blank is an investor in YGF 100 LP and therefore is an indirect beneficial owner of a portion of these shares. Mr. Blank disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
The warrant reported on this row (the "Warrant") was issued by the Issuer to CF Global Credit, LP in connection with that certain Term Loan and Security Agreement, dated as of February 1, 2023 (the "Loan Agreement") and as consideration for the term loan pursuant to the Loan Agreement. The Warrant has an exercise price of $0.01 per share, subject to adjustment as set forth in the Warrant, is exercisable immediately and will expire on February 1, 2030. The terms of the Warrant do not allow for cash exercise and the Warrant may only be exercised pursuant to the terms thereof. Mr. Blank controls the general partner of CF Global Credit, LP. Mr. Blank is an investor in CF Global Credit, LP and therefore is an indirect beneficial owner of a portion of the shares underlying the Warrant. Mr. Blank disclaims beneficial ownership of the shares underlying the Warrant except to the extent of his pecuniary interest therein.