Arq, Inc. (NASDAQ: ARQ) grants RSAs and PSUs to CFO Steinmetz

Rhea-AI Filing Summary

Steinmetz Shimon reported acquisition or exercise transactions in this Form 4 filing.

Arq, Inc. reports equity compensation grants to Chief Financial Officer Shimon Steinmetz.

On July 31, 2026, he received 250,000 restricted stock awards as an employment inducement, with 75,000 vesting on the second anniversary of grant and 175,000 on the third, plus 150,000 performance share units that vest in three 50,000‑share tranches if the 30‑Day VWAP reaches $8.00, $10.00 and $15.00 per share, in each case before the third anniversary of grant. On August 1, 2026, he received 93,023 restricted stock awards and target 93,023 performance share units under the 2026 Omnibus Incentive Plan, with RSAs vesting in three equal installments through March 23, 2029 and PSUs eligible to vest, if at all, based on performance goals measured as of December 31, 2028, with a maximum of 186,046 shares deliverable by March 15, 2029.

Insider Trade Summary

Net Buyer: 343,023 shares

Net Buy 4 txns

Insider Steinmetz Shimon

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Performance Share Units F5, F6, F7	93,023	$0.00	$0.00
Grant/Award	Common Stock F2	93,023	$0.00	$0.00
Grant/Award	Performance Share Units F3, F4	150,000	$0.00	$0.00
Grant/Award	Common Stock F1	250,000	$0.00	$0.00

Holdings After Transaction: Performance Share Units — 243,023 shares (Direct); Common Stock — 343,023 shares (Direct)

Footnotes (7)

1. F1. Represents restricted stock awards ("RSAs") granted to Mr. Steinmetz as an employment inducement award. 75,000 RSAs shall vest on the second anniversary of the grant date and the remaining 175,000 RSAs shall vest on the third anniversary of the grant date.
2. F2. Represents RSAs granted in accordance with the Issuer's long-term incentive plan under the 2026 Omnibus Incentive Plan, approved by stockholders on June 10, 2026. The RSAs shall vest in three equal installments, on each of August 1, 2027, March 23, 2028, and March 23, 2029.
3. F3. Represents performance share units ("PSUs") granted to Mr. Steinmetz as an employment inducement award. Each PSU represents the right to receive one share of the Issuer's Common Stock upon vesting and settlement.
4. F4. 50,000 PSUs vest when the 30-day volume weighted average price of the Issuer's Common Stock (the "30-Day VWAP") equals $8.00 per share, 50,000 PSUs vest when the 30-Day VWAP equals $10.00 per share, and 50,000 PSUs vest when the 30-Day VWAP equals $15.00 per share, in each case, prior to the third anniversary of the date of grant.
5. F5. Represents PSUs granted in accordance with the Issuer's long-term incentive plan under the 2026 Omnibus Incentive Plan.
6. F6. Each PSU represents a contingent right to receive one share of the Issuer's common stock upon vesting of the PSU, which will occur, if at all, no later than March 15, 2029 subject to the reporting person's continuous service with the Issuer or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2028.
7. F7. Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.

Key Figures

Inducement RSAs: 250,000 shares Inducement PSUs: 150,000 units Plan RSAs: 93,023 shares +5 more

8 metrics

Inducement RSAs 250,000 shares Restricted stock awards granted July 31, 2026; 75,000 vest on the second anniversary, 175,000 on the third.

Inducement PSUs 150,000 units Performance share units granted July 31, 2026; three 50,000‑unit tranches tied to 30‑Day VWAP hurdles.

Plan RSAs 93,023 shares RSAs granted August 1, 2026 under the 2026 Omnibus Incentive Plan; vest in three equal installments through March 23, 2029.

Target Plan PSUs 93,023 units PSUs granted August 1, 2026 under the 2026 Omnibus Incentive Plan; performance measured as of December 31, 2028.

Maximum PSUs deliverable 186,046 shares Maximum shares that may vest from the August 1, 2026 PSUs, equal to 200% of the target award.

First VWAP hurdle $8.00 per share Price at which 50,000 inducement PSUs vest if the 30‑Day VWAP reaches this level before the third anniversary.

Second VWAP hurdle $10.00 per share Price at which an additional 50,000 inducement PSUs vest, subject to the same 30‑Day VWAP test and timeline.

Third VWAP hurdle $15.00 per share Price at which the final 50,000 inducement PSUs vest if achieved within three years of grant.

Key Terms

restricted stock awards, Performance Share Units, 30-day volume weighted average price, 2026 Omnibus Incentive Plan

4 terms

restricted stock awards financial

"Represents restricted stock awards ("RSAs") granted to Mr. Steinmetz as an employment"

Restricted stock awards are company shares given to employees or executives that cannot be sold or transferred until certain conditions — like staying with the company for a set time or meeting performance targets — are met, like a gift that is locked in a safe until rules are satisfied. Investors care because these awards tie management’s pay to company performance, can increase the number of shares outstanding when they become tradable (dilution), and may signal expected future selling pressure or commitment to long-term growth.

Performance Share Units financial

"Represents performance share units ("PSUs") granted to Mr. Steinmetz as an employment"

Performance share units are a type of company stock award given to employees that depend on the company meeting specific goals or targets. If these goals are achieved, the employee receives shares or the value of shares; if not, they may receive little or no compensation. This aligns employees’ interests with the company's success and encourages performance that benefits investors.

30-day volume weighted average price financial

"when the 30-day volume weighted average price of the Issuer's Common Stock (the "30-Day VWAP")"

2026 Omnibus Incentive Plan financial

"long-term incentive plan under the 2026 Omnibus Incentive Plan, approved by stockholders"

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/04/2026 - 08:32 PM Accepted by SEC EDGAR 08/04/2026 - 08:31 PM Learn about SEC filing dates

FAQ

What equity awards did Arq (ARQ) grant to CFO Shimon Steinmetz on July 31, 2026?

On July 31, 2026, CFO Shimon Steinmetz received 250,000 restricted stock awards and 150,000 performance share units. The RSAs vest over two and three years, while the PSUs vest in 50,000‑share tranches tied to $8.00, $10.00 and $15.00 30‑Day VWAP hurdles.

How do the inducement PSUs for Arq (ARQ)'s CFO vest?

The 150,000 PSUs granted as an employment inducement vest in three tranches of 50,000 PSUs each. Vesting occurs if the 30‑Day VWAP equals $8.00, $10.00 and $15.00 per share, respectively, in each case before the third anniversary of the grant date.

What are the vesting terms of the August 1, 2026 RSAs granted by Arq (ARQ) to its CFO?

On August 1, 2026, Steinmetz received 93,023 restricted stock awards under the 2026 Omnibus Incentive Plan. These RSAs vest in three equal installments on August 1, 2027, March 23, 2028 and March 23, 2029, contingent on continued service with Arq or its related entities.

What performance conditions apply to the August 1, 2026 PSUs for Arq (ARQ)'s CFO?

The August 1, 2026 grant includes target 93,023 PSUs, with a maximum of 186,046 shares (200% of target) vesting, if at all. Vesting depends on continuous service and achieving pre‑established goals measured as of December 31, 2028, with settlement no later than March 15, 2029.

Were the equity awards to Arq (ARQ)'s CFO granted under a shareholder-approved plan?

The 93,023 RSAs and target 93,023 PSUs granted on August 1, 2026 were issued under Arq's 2026 Omnibus Incentive Plan, described as a long‑term incentive plan approved by stockholders on June 10, 2026.

Did CFO Shimon Steinmetz pay cash for the Arq (ARQ) equity awards reported?

No cash purchase price is shown for these awards; each transaction lists a per‑share price of $0.0000. The reported RSAs and PSUs are stock-based compensation grants, not open‑market share purchases by the CFO.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Steinmetz Shimon

(Last) (First) (Middle)

8051 E. MAPLEWOOD AVE.

STE. 210

(Street)

GREENWOOD VILLAGE COLORADO 80111

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Arq, Inc. [ ARQ ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/31/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	07/31/2026		A		250,000(1)	A	$0	250,000	D
Common Stock	08/01/2026		A		93,023(2)	A	$0	343,023	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Performance Share Units	(3)	07/31/2026		A		150,000		(4)	(4)	Common Stock	150,000	$0	150,000	D
Performance Share Units	(5)	08/01/2026		A		93,023		(6)	03/15/2029(6)	Common Stock	186,046(7)	$0	93,023	D

Explanation of Responses:

1. Represents restricted stock awards ("RSAs") granted to Mr. Steinmetz as an employment inducement award. 75,000 RSAs shall vest on the second anniversary of the grant date and the remaining 175,000 RSAs shall vest on the third anniversary of the grant date.

2. Represents RSAs granted in accordance with the Issuer's long-term incentive plan under the 2026 Omnibus Incentive Plan, approved by stockholders on June 10, 2026. The RSAs shall vest in three equal installments, on each of August 1, 2027, March 23, 2028, and March 23, 2029.

3. Represents performance share units ("PSUs") granted to Mr. Steinmetz as an employment inducement award. Each PSU represents the right to receive one share of the Issuer's Common Stock upon vesting and settlement.

4. 50,000 PSUs vest when the 30-day volume weighted average price of the Issuer's Common Stock (the "30-Day VWAP") equals $8.00 per share, 50,000 PSUs vest when the 30-Day VWAP equals $10.00 per share, and 50,000 PSUs vest when the 30-Day VWAP equals $15.00 per share, in each case, prior to the third anniversary of the date of grant.

5. Represents PSUs granted in accordance with the Issuer's long-term incentive plan under the 2026 Omnibus Incentive Plan.

6. Each PSU represents a contingent right to receive one share of the Issuer's common stock upon vesting of the PSU, which will occur, if at all, no later than March 15, 2029 subject to the reporting person's continuous service with the Issuer or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2028.

7. Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.

Remarks:

	/s/ Shimon Steinmetz	08/04/2026
	** 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 4 (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 Number.
* Form 4: SEC 1474 (03-26)