Arq, Inc.
For the period ended Jun 30, 2026. Filed Aug 10, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2026 · Filed Aug 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Exhibit No. | Description | Form | File No. | Incorporated by Reference Exhibit | Filing Date |
|---|---|---|---|---|---|
| 3.1 | Amended and Restated Bylaws of Arq, Inc., as amended | 10-Q | 001-37822 | 3.1 | May 8, 2024 |
| 3.2 | Second Amended and Restated Certificate of Incorporation of Advanced Emissions Solutions, Inc. | 10-Q | 000-54992 | 3.1 | August 9, 2013 |
| 3.3 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation, effective February 1, 2024 | 8-K | 001-37822 | 3.1 | January 31, 2024 |
| 3.4 | Certificate of Designations of Series A Preferred Stock | 8-K | 001-37822 | 3.1 | February 1, 2023 |
| 3.5 | Certificate of Designation, Preferences, and Rights of Series B Junior Participating Preferred Stock of Advanced Emissions Solutions, Inc. | 8-K | 001-37822 | 3.1 | May 8, 2017 |
| 4.1 | Ninth Amendment to Tax Asset Protection Plan dated as of April 15, 2026, by and between the Company and Computershare Trust Company, N.A., as rights agent. | 8-K | 001-37822 | 4.1 | April 17, 2026 |
| 10.1 | Separation and General Release Agreement by and between Jeremy “Deke” Williamson and Arq, Inc., effective as of April 28, 2026. | 8-K | 001-37822 | 10.1 | May 1, 2026 |
| 10.2 | Separation and General Release Agreement by and between Jay Voncannon and Arq, Inc., effective as of April 28, 2026. | 8-K | 001-37822 | 10.2 | May 1, 2026 |
| 10.3 | Employment Agreement by and between Shimon Steinmetz and Arq, Inc. dated May 26, 2026.*** | 8-K | 001-37822 | 10.1 | May 27, 2026 |
| 10.4 | Form of Arq, Inc. Inducement Restricted Stock Award Agreement.** | S-8 | 001-37822 | 10.1 | June 26, 2026 |
| 10.5 | Form of Arq, Inc. Inducement Performance Stock Unit Agreement.** | S-8 | 001-37822 | 10.2 | June 26, 2026 |
| 10.6 | Arq, Inc. 2026 Omnibus Incentive Plan. | 8-K | 001-37822 | 10.1 | June 11, 2026 |
| 10.7 | Separation Agreement by and between Stacia Hansen and Arq, Inc., effective as of June 30, 2026.** | 8-K | 001-37822 | 10.1 | July 2, 2026 |
| 10.8 | First Amendment to the Employment Agreement, by and between Robert E. Rasmus and Arq, Inc., dated July 23, 2026.** | 8-K | 001-37822 | 10.1 | July 23, 2026 |
| 10.9 | Grant Notice for Restricted Stock Unit Award and Standard Terms and Conditions for Restricted Stock Units, by and between Robert E. Rasmus and Arq, Inc., dated July 23, 2026 (Time-Based RSUs).** | 8-K | 001-37822 | 10.2 | July 23, 2026 |
| 10.10 | Grant Notice for Restricted Stock Unit Award and Standard Terms and Conditions for Restricted Stock Units, by and between Robert E. Rasmus and Arq, Inc., dated July 23, 2026 (Performance-Based RSUs).** | 8-K | 001-37822 | 10.3 | July 23, 2026 |
| 10.11 | Inducement Award Amendment, by and between Robert E. Rasmus and Arq, Inc., dated July 17, 2026.** | 8-K | 001-37822 | 10.4 | July 23, 2026 |
| 18.1 | Preferability Letter from Independent Registered Public Accounting Firm, dated August 10, 2026.* | ||||
| 31.1 | Certification of Principal Executive Officer of Arq, Inc. Pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a)* | ||||
| 31.2 | Certification of Principal Financial Officer of Arq, Inc. Pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a)* | ||||
| 32.1 | Certification of Principal Executive Officer and Principal Financial Officer of Arq, Inc. Pursuant to 18 U.S.C Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002* |
| 95.1 | Mine Safety Disclosure Exhibit* |
| 101.SCH | XBRL Schema Document* |
| 101.CAL | XBRL Calculation Linkbase Document* |
| 101.LAB | XBRL Label Linkbase Document* |
| 101.PRE | XBRL Presentation Linkbase Document* |
| 101.DEF | Taxonomy Extension Definition Linkbase Document* |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)* |
Notes:
- Filed herewith.
** Management contract or compensatory plan or arrangement.
*** Portions of this exhibit have been omitted pursuant to Item 601(b)(10) as information that the Company customarily and actually treats that information as private or confidential and is not material.
Filings for the Company were made under the name ADA-ES, Inc. (File No. 000-50216) prior to July 1, 2013, the effective date of our reorganization, and under the name Advanced Emissions Solutions, Inc. (File No. 000-54992) starting on July 1, 2013. Filings for the Company were made under the name Advanced Emissions Solutions, Inc. (File No. 001-37822) starting on July 6, 2016. On February 1, 2024, the Company changed its name to Arq, Inc.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.