Arq, Inc.
For the period ended Sep 30, 2026. Filed Nov 4, 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.
Sep 30, 2026 · Filed Nov 4, 2026
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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 |
| 10.1 | 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 |
| 10.2 | 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 |
| 10.3 | 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 |
| 10.4 | 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 |
| 10.5 | Employment Agreement, by and between Peter Owino and Arq, Inc., dated August 25, 2026.,*, † | 8-K | 001-37822 | 10.1 | August 28, 2026 |
| 10.6 | Form of Arq, Inc. Inducement Restricted Stock Award Agreement. | S-8 | 333-298991 | 10.1 | August 28, 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.
†Schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company hereby undertakes to furnish supplemental copies of any of the omitted schedules and exhibits upon request by the SEC.
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.
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