ADA-ES INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-05-14: Reporting owner Sjostrom Sharon; Form 4; Security Performance Unit Shares; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-05-14: Reporting owner SCHLAGER RICHARD J; Form 4; Security Performance Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-05-14: Reporting owner Miller Richard; Form 4; Security Performance Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-05-14: Reporting owner MCKINNIES MARK H; Form 4; Security Performance Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-05-14 | Sjostrom Sharon Officer (CTO) | 4 | Performance Unit Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,752 4,752 owned after | $0.00 | 2013-05-24 | |
| 2013-05-14 | SCHLAGER RICHARD J Officer (VP) | 4 | Performance Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,442 2,442 owned after | $0.00 | 2013-05-24 | |
| 2013-05-14 | Miller Richard Officer (VP) | 4 | Performance Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,326 2,326 owned after | $0.00 | 2013-05-24 | |
| 2013-05-14 | MCKINNIES MARK H Officer (SVP and CFO) | 4 | Performance Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,204 16,204 owned after | $0.00 | 2013-05-24 | |
| 2013-05-14 | MATTISON GRAHAM O Officer (VP Investor Relations) | 4 | Peformance Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,116 3,116 owned after | $0.00 | 2013-05-24 | |
| 2013-05-14 | Martin Cameron E. Officer (VP) | 4 | Performance Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,420 2,420 owned after | $0.00 | 2013-05-23 | |
| 2013-05-14 | LAGARENNE JONATHAN R Officer (Executive Vice President) | 4 | Performance Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,230 7,230 owned after | $0.00 | 2013-05-23 | |
| 2013-05-14 | DURHAM MICHAEL D Officer (President and CEO) | 4 | Performance Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,300 40,300 owned after | $0.00 | 2013-05-23 | |
| 2013-05-14 | BUSTARD C JEAN Officer (COO) | 4 | Performance Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,952 6,952 owned after | $0.00 | 2013-05-23 | |
| 2013-05-14 | Amrhein Christine B. Officer (General Counsel VP) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,836 3,836 owned after | $0.00 | 2013-05-23 |