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Advanced Emissions Solutions, Inc. – ‘8-K’ for 9/29/20

On: Tuesday, 9/29/20, at 4:43pm ET · For: 9/29/20 · Accession #: 1515156-20-82 · File #: 1-37822

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

 9/29/20  Advanced Emissions Solutions, Inc 8-K:1,9     9/29/20   13:239K

Current Report — Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     31K 
 2: EX-10.1     Material Contract                                   HTML     23K 
 9: R1          Cover Page                                          HTML     48K 
11: XML         IDEA XML File -- Filing Summary                      XML     12K 
 8: XML         XBRL Instance -- ades-20200929_htm                   XML     23K 
10: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.CAL  XBRL Calculations -- ades-20200929_cal               XML      7K 
 5: EX-101.DEF  XBRL Definitions -- ades-20200929_def                XML      9K 
 6: EX-101.LAB  XBRL Labels -- ades-20200929_lab                     XML     70K 
 7: EX-101.PRE  XBRL Presentations -- ades-20200929_pre              XML     35K 
 3: EX-101.SCH  XBRL Schema -- ades-20200929                         XSD     11K 
12: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    18K 
13: ZIP         XBRL Zipped Folder -- 0001515156-20-000082-xbrl      Zip     17K

‘8-K’ — Current Report

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

iX: C: C:

ades-20200929

i 0001515156 i false00015151562020-09-242020-09-24

U.S. SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM i 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): i September 29, 2020

i ADVANCED EMISSIONS SOLUTIONS, INC.

(Name of registrant as specified in its charter)

i Delaware

i 001-37822

i 27-5472457

(State or other jurisdiction of incorporation)

(Commission File Number)

(I.R.S. Employer Identification Number)


i 8051 E. Maplewood Avenue, i Suite 210, i Greenwood Village, i CO						i 80111
(Address of principal executive offices)						(Zip Code)

Registrant's telephone number, including area code: ( i 720) i 598-3500

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


i ☐						Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


i ☐						Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


i ☐						Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


i ☐						Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Class

Trading Symbol

Name of each exchange on which registered

i Common stock, par value $0.001 per share

i ADES

i NASDAQ Global Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


	Emerging growth company	i ☐
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.			☐


Item 1.01						Entry into a Material Definitive Agreement.

On September 29, 2020, Advanced Emissions Solutions, Inc. (the "Company"), a Delaware corporation, ADA-ES, Inc., a Colorado corporation and wholly-owned subsidiary of the Company, and BOK, NA dba Bank of Oklahoma (the "Lender"), entered into the Fourteenth Amendment (the "Fourteenth Amendment") to the 2013 Loan and Security Agreement (the "Line of Credit").

The Fourteenth Amendment extends the maturity date of the Line of Credit to March 31, 2021 and sets forth an additional event of default under the Line of Credit.

The foregoing description of the Fourteenth Amendment does not purport to be complete and is qualified in its entirety by reference to the full text of the Fourteenth Amendment, which is filed as Exhibit 10.1 to this Current Report on Form 8-K.


Item 9.01						Financial Statements and Exhibits.

(d)						Exhibits


Exhibit No.						Description
10.1						Fourteenth Amendment of 2013 Loan and Security Agreement by and among ADA-ES,Inc., Advanced Emissions Solutions, Inc., and BOK, NA d/b/a Bank of Oklahoma dated as of September 2 9 , 2020

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: September 29, 2020


			Advanced Emissions Solutions, Inc.
			Registrant


			/s/ *Greg Marken*
			Greg Marken
			Interim Chief Executive Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

	3/31/21	10-Q
Filed on / For Period end:	9/29/20
		List all Filings

2 Subsequent Filings that Reference this Filing

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

 3/10/21  Advanced Emissions Solutions, Inc 10-K       12/31/20  133:14M
11/09/20  Advanced Emissions Solutions, Inc 10-Q        9/30/20  105:11M

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Filing Submission 0001515156-20-000082 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)