0001515156-24-000088 3 2 20240426 20240502 20240502 Smith Claiborne Benson 0002021219 3 34 001-37822 24909079 8051 E. MAPLEWOOD AVENUE SUITE 210 GREENWOOD VILLAGE CO 80111 Arq, Inc. 0001515156 2890 08 Industrial Applications and Services 275472457 1231 8051 E. MAPLEWOOD AVE., STE 210 GREENWOOD VILLAGE CO 80111 720-598-3500 8051 E. MAPLEWOOD AVE., STE 210 GREENWOOD VILLAGE CO 80111 Advanced Emissions Solutions, Inc. 20110311 3 1 wk-form3_1714682080.xml FORM 3 FORM 3 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: Washington, D.C. 20549 3235-0104 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF Estimated SECURITIES average burden hours per response... 0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 1. Name and Address of Reporting 2. Date of Event 3. Issuer Name and Ticker or Trading Person * Requiring Symbol Smith Claiborne Benson Statement Arq, Inc. [ARQ] (MM/DD/YYYY) 4/26/2024 (Last) (First) (Middle) 4. Relationship of Reporting Person(s) to Issuer (Check C/O ARQ, INC, 8051 E. MAPLEWOOD all applicable) AVE, STE 210 _____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Gen Counsel, Corp Secretary / (Street) 5. If Amendment, 6. Individual or Joint/Group GREENWOOD VILLAGE, CO 80111 Date Original Filing(Check Applicable Line) (City) (State) (Zip) Filed(MM/DD/YYYY) _X_ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Beneficially Owned 1.Title of Security 2. Amount of 3. 4. Nature of Indirect (Instr. 4) Securities Ownership Beneficial Ownership Beneficially Form: (Instr. 5) Owned Direct (Instr. 4) (D) or Indirect (I) (Instr. 5) Common Stock 46,469 D Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivate Security 2. Date Exercisable 3. Title and Amount 4. 5. 6. Nature of (Instr. 4) and Expiration Date of Securities Conversion Ownership Indirect (MM/DD/YYYY) Underlying or Form of Beneficial Derivative Security Exercise Derivative Ownership (Instr. 4) Price of Security: (Instr. 5) Derivative Direct (D) Security or Indirect (I) Date Expiration Title Amount (Instr. 5) Exercisable Date or Number of Shares Explanation of Responses: Remarks: On April 26, 2024, the issuers board of directors designated the reporting person as an executive officer for purposes of Section 16. Accordingly, this Form 3 reports the reporting persons beneficial ownership of issuer securities on the date of his designation. Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Smith Claiborne Benson C/O ARQ, INC Gen Counsel, Corp Secretary 8051 E. MAPLEWOOD AVE, STE 210 GREENWOOD VILLAGE, CO 80111 Signatures /s/ Claiborne B. Smith 5/2/2024 ** Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. EX-24.1 2 exhibit241powerofattorneys.htm EX-24.1 Exhibit 24.1 Power of Attorney Know all by these presents, that the undersigned hereby constitutes and appoints Stacia Hansen, his or her true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in his or her capacity as an officer, director or ten percent stockholder of Arq, Inc. (the “Issuer”), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Issuer assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to his or her holdings of and transactions in securities issued by the Issuer, unless earlier revoked by him in a signed writing delivered to the foregoing attorneys-in-fact. [Signature on following page.] 1 -------------------------------------------------------------------------------- IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney May 2, 2024. /s/ Claiborne B. Smith Claiborne B. Smith 2