SEC Info - Arq, Inc. - ‘10-K’ for 12/31/23

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Arq, Inc. – ‘10-K’ for 12/31/23 – ‘EX-31.1’

On: Tuesday, 3/12/24, at 5:05pm ET · For: 12/31/23 · Accession #: 1515156-24-36 · File #: 1-37822

Previous ‘10-K’: ‘10-K’ on 3/8/23 for 12/31/22 · Latest ‘10-K’: This Filing · 31 References:

  As Of               Filer                 Filing    For·On·As Docs:Size

 3/12/24  Arq, Inc.                         10-K       12/31/23  104:10M

Annual Report — Form 10-K — SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   1.71M 
 2: EX-4.10     Instrument Defining the Rights of Security Holders  HTML     44K 
 3: EX-10.3     Material Contract                                   HTML     46K 
 5: EX-10.30    Material Contract                                   HTML     48K 
 4: EX-10.4     Material Contract                                   HTML     56K 
 6: EX-21.1     Subsidiaries List                                   HTML     30K 
 7: EX-23.1     Consent of Expert or Counsel                        HTML     26K 
11: EX-95       Mine-Safety Disclosure                              HTML     34K 
12: EX-97       Clawback Policy re: Recovery of Erroneously         HTML     40K 
                Awarded Compensation                                             
 8: EX-31.1     Certification -- §302 - SOA'02                      HTML     30K 
 9: EX-31.2     Certification -- §302 - SOA'02                      HTML     30K 
10: EX-32.1     Certification -- §906 - SOA'02                      HTML     29K 
18: R1          Cover                                               HTML     94K 
19: R2          Audit Information                                   HTML     32K 
20: R3          Consolidated Balance Sheets                         HTML    118K 
21: R4          Consolidated Balance Sheets (Parenthetical)         HTML     49K 
22: R5          Consolidated Statements of Operations               HTML    112K 
23: R6          Consolidated Statements of Changes in               HTML     93K 
                Stockholders? Equity                                             
24: R7          Consolidated Statements of Cash Flows               HTML    143K 
25: R8          Summary of Operations and Significant Accounting    HTML    110K 
                Policies                                                         
26: R9          Arq Acquisition                                     HTML     69K 
27: R10         Inventories, net                                    HTML     35K 
28: R11         Property, Plant and Equipment                       HTML     45K 
29: R12         Revenue                                             HTML     42K 
30: R13         Debt Obligations                                    HTML     58K 
31: R14         Leases                                              HTML    155K 
32: R15         Commitments and Contingencies                       HTML     37K 
33: R16         Marshall Mine, LLC                                  HTML     29K 
34: R17         Supplemental Financial Information                  HTML     97K 
35: R18         Stockholders' Equity                                HTML     40K 
36: R19         Stock-Based Compensation                            HTML     89K 
37: R20         Income Taxes                                        HTML    120K 
38: R21         Major Customers                                     HTML     37K 
39: R22         Related Party Transactions                          HTML     33K 
40: R23         Defined Contribution Savings Plans                  HTML     36K 
41: R24         Pay vs Performance Disclosure                       HTML     39K 
42: R25         Insider Trading Arrangements                        HTML     33K 
43: R26         Summary of Operations and Significant Accounting    HTML    135K 
                Policies (Policies)                                              
44: R27         Summary of Operations and Significant Accounting    HTML     59K 
                Policies (Tables)                                                
45: R28         Arq Acquisition (Tables)                            HTML     60K 
46: R29         Inventories, net (Tables)                           HTML     36K 
47: R30         Property, Plant and Equipment (Tables)              HTML     44K 
48: R31         Revenue (Tables)                                    HTML     36K 
49: R32         Debt Obligations (Tables)                           HTML     40K 
50: R33         Leases (Tables)                                     HTML    109K 
51: R34         Supplemental Financial Information (Tables)         HTML    100K 
52: R35         Stock-Based Compensation (Tables)                   HTML    100K 
53: R36         Income Taxes (Tables)                               HTML    122K 
54: R37         Major Customers (Tables)                            HTML     37K 
55: R38         Defined Contribution Savings Plans (Tables)         HTML     32K 
56: R39         Summary of Operations and Significant Accounting    HTML     68K 
                Policies - Additional Information (Details)                      
57: R40         Summary of Operations and Significant Accounting    HTML     42K 
                Policies - Intangible Assets (Details)                           
58: R41         Summary of Operations and Significant Accounting    HTML     59K 
                Policies - Net Income (Loss) Per Share (Details)                 
59: R42         Arq Acquisition - Narrative (Details)               HTML     98K 
60: R43         Arq Acquisition - Schedule of Final Purchase Price  HTML     64K 
                Allocation to the Assets Acquired and Liabilities                
                Assumed (Details)                                                
61: R44         Arq Acquisition - Schedule of Pro Forma Revenues    HTML     31K 
                (Details)                                                        
62: R45         Arq Acquisition - Schedule of Revenues and Net      HTML     47K 
                Loss for Arq (Details)                                           
63: R46         Inventories, net (Details)                          HTML     33K 
64: R47         Property, Plant and Equipment - Accumulated         HTML     63K 
                Depreciation (Details)                                           
65: R48         Property, Plant and Equipment - Additional          HTML     33K 
                Information (Details)                                            
66: R49         Revenue - Narrative (Details)                       HTML     44K 
67: R50         Revenue - Receivables (Details)                     HTML     35K 
68: R51         Debt Obligations - Schedule of Debt (Details)       HTML     57K 
69: R52         Debt Obligations - Narrative (Details)              HTML    143K 
70: R53         Leases - Balance Sheets (Details)                   HTML     48K 
71: R54         Leases - Additional Information (Details)           HTML     42K 
72: R55         Leases - Lease Liabilities (Details)                HTML     63K 
73: R56         Leases - Disclosures under ASC 842 (Details)        HTML     86K 
74: R57         Commitments and Contingencies (Details)             HTML     86K 
75: R58         Marshall Mine, LLC (Details)                        HTML     36K 
76: R59         Supplemental Financial Information - Prepaid        HTML     56K 
                expenses and other assets and Other assets                       
                (Details)                                                        
77: R60         Supplemental Financial Information - Additional     HTML     58K 
                Information (Details)                                            
78: R61         Supplemental Financial Information - Other          HTML     57K 
                Liabilities (Details)                                            
79: R62         Supplemental Financial Information - Asset          HTML     51K 
                Retirement Obligation (Details)                                  
80: R63         Supplemental Financial Information - Supplemental   HTML     39K 
                Income Statement - Interest Expense (Details)                    
81: R64         Supplemental Financial Information - Supplemental   HTML     32K 
                Income Statement - Other (Details)                               
82: R65         Stockholders' Equity (Details)                      HTML     92K 
83: R66         Stock-Based Compensation - Additional Information   HTML     66K 
                (Details)                                                        
84: R67         Stock-Based Compensation - Fair Value Assumptions   HTML     47K 
                for Options (Details)                                            
85: R68         Stock-Based Compensation - Allocation of            HTML     43K 
                Compensation Expense (Details)                                   
86: R69         Stock-Based Compensation - Summary of Unrecognized  HTML     50K 
                Compensation Cost (Details)                                      
87: R70         Stock-Based Compensation - Summary of Non-vested    HTML     51K 
                Restricted Stock Activity (Details)                              
88: R71         Stock-Based Compensation - Summary of Non-vested    HTML     56K 
                PSUs (Details)                                                   
89: R72         Stock-Based Compensation - Summary of Option        HTML     76K 
                Activity (Details)                                               
90: R73         Income Taxes - Schedule of Income before Income     HTML     35K 
                Tax, Domestic and Foreign (Details)                              
91: R74         Income Taxes - Income Tax Benefit (Expense) from    HTML     50K 
                Continuing Operations (Details)                                  
92: R75         Income Taxes - Reconciliation of Expected Federal   HTML     46K 
                Income Taxes at Statutory Rates (Details)                        
93: R76         Income Taxes - Deferred Tax Assets And Liabilities  HTML     73K 
                (Details)                                                        
94: R77         Income Taxes - Additional Information (Details)     HTML     45K 
95: R78         Income Taxes - Net Operating Loss Carryforwards     HTML     39K 
                and Tax Credit Carryforwards (Details)                           
96: R79         Income Taxes - Unrecognized Tax Benefits (Details)  HTML     32K 
97: R80         Major Customers (Details)                           HTML     37K 
98: R81         Related Party Transactions (Details)                HTML     34K 
99: R82         Defined Contribution Savings Plans (Details)        HTML     28K 
101: XML         IDEA XML File -- Filing Summary                      XML    179K  
104: XML         XBRL Instance -- arq-20231231_htm                    XML   1.89M  
100: EXCEL       IDEA Workbook of Financial Report Info              XLSX    186K  
14: EX-101.CAL  XBRL Calculations -- arq-20231231_cal                XML    323K 
15: EX-101.DEF  XBRL Definitions -- arq-20231231_def                 XML    849K 
16: EX-101.LAB  XBRL Labels -- arq-20231231_lab                      XML   2.25M 
17: EX-101.PRE  XBRL Presentations -- arq-20231231_pre               XML   1.47M 
13: EX-101.SCH  XBRL Schema -- arq-20231231                          XSD    216K 
102: JSON        XBRL Instance as JSON Data -- MetaLinks              659±  1.00M  
103: ZIP         XBRL Zipped Folder -- 0001515156-24-000036-xbrl      Zip    544K

‘EX-31.1’ — Certification — §302 – SOA’02

This Exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

C: C:

Document

Exhibit 31.1

CERTIFICATION

I, Robert Rasmus, certify that:

1. I have reviewed this Annual Report on Form 10-K of Arq, Inc.;

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;

4. The registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

5. The registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

Date: March 12, 2024


/s/ *Robert Rasmus*
Robert Rasmus
Chief Executive Officer
(Principal Executive Officer)

Dates Referenced Herein

This ‘10-K’ Filing	Date	Other Filings

Filed on:	3/12/24	None on these Dates
For Period end:	12/31/23
		List all Filings

31 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/31/24  Advanced Emissions Solutions, Inc 8-K:5,8,9   1/31/24   15:482K
11/08/23  Advanced Emissions Solutions, Inc 8-K:5,9    11/06/23   11:291K
 9/18/23  Advanced Emissions Solutions, Inc 8-K:5,8,9   9/18/23   12:1.5M
 7/17/23  Advanced Emissions Solutions, Inc 8-K:3,5,8,9 7/14/23   13:1.5M
 6/06/23  Advanced Emissions Solutions, Inc 8-K:1,9     6/02/23   11:269K
 4/14/23  Advanced Emissions Solutions, Inc 8-K:1,3,5,9 4/11/23   12:1.2M
 3/08/23  Advanced Emissions Solutions, Inc 10-K       12/31/22  103:11M
 2/01/23  Advanced Emissions Solutions, Inc 8-K:1,2,3,5 2/01/23   17:5.1M
 9/06/22  Advanced Emissions Solutions, Inc 8-K:1,7,9   9/02/22   12:1.8M
 5/17/22  Advanced Emissions Solutions, Inc 8-K:5,9     5/16/22   11:374K
 3/16/22  Advanced Emissions Solutions, Inc 8-K:1,3,9   3/15/22   11:202K
 4/13/21  Advanced Emissions Solutions, Inc 8-K:1,3,5,9 4/08/21   13:210K
 9/30/20  Advanced Emissions Solutions, Inc 8-K:1,2,9   9/30/20   15:2.1M
 4/09/20  Advanced Emissions Solutions, Inc 8-K:1,3,9   4/08/20    2:61K
11/12/19  Advanced Emissions Solutions, Inc 10-Q        9/30/19   96:11M
 4/11/19  Advanced Emissions Solutions, Inc 8-K:1,3,9   4/05/19    2:59K
 3/18/19  Advanced Emissions Solutions, Inc 10-K       12/31/18  126:15M
 8/06/18  Advanced Emissions Solutions, Inc 10-Q        6/30/18   82:9.5M
 4/11/18  Advanced Emissions Solutions, Inc 8-K:1,3,5,9 4/06/18    3:215K
 6/22/17  Advanced Emissions Solutions, Inc 8-K:5,7,9   6/20/17    3:361K
 5/08/17  Advanced Emissions Solutions, Inc 8-K:1,2,3,5 5/05/17    5:860K
 2/29/16  Advanced Emissions Solutions, Inc 10-K       12/31/14  154:118M
11/12/13  Advanced Emissions Solutions, Inc 10-Q        9/30/13   68:8.9M                                   ActiveDisclosure/FA
 8/09/13  Advanced Emissions Solutions, Inc 10-Q        6/30/13  114:11M                                    ActiveDisclosure/FA
11/09/12  Ada-Es Inc.                       10-Q        9/30/12   76:7.7M                                   Donnelley … Solutions/FA
 3/15/12  Ada-Es Inc.                       10-K       12/31/11   50:6.5M                                   Donnelley … Solutions/FA
11/14/11  Ada-Es Inc.                       10-Q        9/30/11   34:2.5M                                   Donnelley … Solutions/FA
 9/28/11  Ada-Es Inc.                       10-Q/A      6/30/11    6:4.6M                                   Donnelley … Solutions/FA
 8/12/11  Ada-Es Inc.                       10-Q        6/30/11   35:3.2M                                   Donnelley … Solutions/FA
 3/28/11  Ada-Es Inc.                       10-K       12/31/10    9:1M                                     Donnelley … Solutions/FA
 8/16/10  Ada-Es Inc.                       10-Q        6/30/10   13:1.2M                                   Donnelley … Solutions/FA

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Filing Submission 0001515156-24-000036 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)