Delaware | 001-37822 | 27-5472457 | ||
(State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S. Employer Identification Number) |
8051 E. Maplewood Avenue, Suite 210, Greenwood Village, CO | 80111 | |
(Address of principal executive offices) | (Zip Code) |
o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Class | Trading Symbol | Name of each exchange on which registered | ||
Common stock, par value $0.001 per share | ADES | NASDAQ Global Market |
Emerging growth company | o | |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. | o |
Item 5.07 | Submission of Matters to a Vote of Security Holders. |
(1) | Proposal: | Election of six directors to the Company's Board of Directors. |
Votes | |||||||||
Director Name | For | Withheld | Broker Non-Votes | ||||||
Carol Eicher | 10,693,487 | 354,571 | 4,722,052 | ||||||
Brian Leen | 10,778,032 | 270,026 | 4,722,052 | ||||||
Gilbert Li | 10,119,930 | 928,128 | 4,722,052 | ||||||
R. Carter Pate | 10,130,678 | 917,380 | 4,722,052 | ||||||
J. Taylor Simonton | 10,542,558 | 505,500 | 4,722,052 | ||||||
L. Spencer Wells | 10,165,862 | 882,196 | 4,722,052 |
(2) | Proposal: | Approval, on an advisory basis, of the Company's compensation paid to named executive officers, as disclosed pursuant to Item 402 of Regulation S-K, including the Compensation Discussion and Analysis, compensation tables and narrative discussion as set forth under the Executive Compensation section of the Company's 2020 proxy statement. |
Votes | ||||||||||
For | Against | Abstain | Broker Non-Votes | |||||||
10,414,370 | 519,047 | 114,641 | 4,722,052 |
(3) | Proposal: | Ratification of the Audit Committee's selection of Moss Adams LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. |
Votes | |||||||||
For | Against | Abstain | Broker Non-Votes | ||||||
15,657,067 | 77,000 | 36,043 | N/A |
(4) | Proposal: | Approval of the continuation until December 31, 2021 of the Company's Tax Asset Protection Plan. |
Votes | ||||||||||
For | Against | Abstain | Broker Non-Votes | |||||||
10,550,413 | 371,880 | 125,765 | 4,722,052 |
Item 9.01 | Financial Statements and Exhibits. | |
(d) | Exhibits |
Advanced Emissions Solutions, Inc. | |
Registrant |
/s/ Greg Marken | |
Greg Marken | |
Chief Financial Officer |