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Arq grants CAO 100K inducement stock awards

Arq, Inc. (symbol: ARQ) is the issuer of record for a Form 4 filing submitted to the SEC.

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Arq, Inc. (symbol: ARQ) is the issuer of record for a Form 4 filing submitted to the SEC. Owino Peter Oluoch reported acquisition or exercise transactions in this Form 4 filing.

Arq, Inc. (ARQ) reported that Chief Accounting Officer Peter Oluoch Owino received several equity awards on September 1, 2026. He was granted 100,000 restricted stock awards as an employment inducement that vest in three annual tranches through September 1, 2029. He also received 61,047 restricted stock awards under the 2026 Omnibus Incentive Plan vesting in three equal installments on September 1, 2027, March 23, 2028, and March 23, 2029. In addition, he was granted 61,047 performance share units that may deliver up to 122,094 shares of common stock based on performance goals measured as of December 31, 2028, and continued service, with vesting to occur, if at all, no later than March 15, 2029. No cash price per share is reported for these awards, and all are held directly.

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Insider Owino Peter Oluoch
Role Chief Accounting Officer
Type Security Shares Price Value
Grant/Award Performance Share Units F3, F4, F5 61,047 $0.00 $0.00
Grant/Award Common Stock F1 100,000 $0.00 $0.00
Grant/Award Common Stock F2 61,047 $0.00 $0.00
Holdings After Transaction: Performance Share Units — 61,047 contracts (Direct); Common Stock — 161,047 shares (Direct)
Footnotes (5)
  1. F1. Represents restricted stock awards ("RSAs") granted to Mr. Owino as an employment inducement award. 33,333 RSAs will vest on each of September 1, 2027 and September 1, 2028, and 33,334 RSAs will vest on September 1, 2029.
  2. F2. Represents RSAs granted in accordance with the Issuer's long-term incentive plan under the Issuer's 2026 Omnibus Incentive Plan, approved by stockholders on June 10, 2026. The RSAs shall vest in three equal installments, on each of September 1, 2027, March 23, 2028, and March 23, 2029.
  3. F3. Represents performance share units ("PSUs") granted in accordance with the Issuer's long-term incentive plan under the Issuer's 2026 Omnibus Incentive Plan.
  4. F4. 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.
  5. F5. Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.
Inducement restricted stock awards 100,000 shares Granted to Chief Accounting Officer Peter Oluoch Owino on September 1, 2026 as an employment inducement award
Plan-based restricted stock awards 61,047 shares Granted on September 1, 2026 under Arq’s 2026 Omnibus Incentive Plan
Performance share units granted 61,047 units Granted on September 1, 2026 under the 2026 Omnibus Incentive Plan
Maximum shares deliverable under PSUs 122,094 shares Represents 200% of the target performance share award if vesting conditions are fully achieved
PSU performance measurement date December 31, 2028 Date as of which pre-established performance goals will be measured for PSU vesting
Latest PSU vesting date March 15, 2029 Latest date by which performance share units may vest, if at all, subject to service and performance
restricted stock awards financial
"Represents restricted stock awards ("RSAs") granted to Mr. Owino as an employment inducement award."
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 in accordance with the Issuer's long-term incentive plan under the Issuer's 2026 Omnibus Incentive Plan."
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.
long-term incentive plan financial
"granted in accordance with the Issuer's long-term incentive plan under the Issuer's 2026 Omnibus Incentive Plan."
A long-term incentive plan is a company program that pays executives or employees with stock, options, or cash tied to multi-year performance goals, where the rewards become theirs only after meeting conditions over time. Think of it as a delayed bonus or retirement-style reward that aligns employees’ interests with shareholders by encouraging them to boost long-term value; investors watch these plans because they affect pay costs, share dilution and management incentives.
2026 Omnibus Incentive Plan financial
"under the Issuer's 2026 Omnibus Incentive Plan, approved by stockholders on June 10, 2026."

FAQ

What equity awards did ARQ grant to its chief accounting officer on September 1, 2026?
Arq granted Chief Accounting Officer Peter Oluoch Owino 100,000 restricted stock awards as an inducement, 61,047 additional restricted stock awards under the 2026 Omnibus Incentive Plan, and 61,047 performance share units that can settle in up to 122,094 shares of common stock.

How do the inducement restricted stock awards for ARQ’s CAO vest?
The inducement restricted stock awards totaling 100,000 shares vest in three tranches: 33,333 on September 1, 2027, 33,333 on September 1, 2028, and 33,334 on September 1, 2029, subject to continued service.

What are the vesting terms of the additional restricted stock awards at ARQ?
The additional 61,047 restricted stock awards granted under Arq’s 2026 Omnibus Incentive Plan vest in three equal installments on September 1, 2027, March 23, 2028, and March 23, 2029, as part of the issuer’s long-term incentive plan.

How many ARQ shares can the performance share units for the CAO deliver?
The performance share units granted on September 1, 2026 represent the right to receive up to 122,094 shares of Arq common stock, which the company states is 200% of the target award, if performance goals and service conditions are met.

What conditions apply to the performance share units granted by ARQ?
Each performance share unit represents a right to one Arq common share that may vest no later than March 15, 2029, subject to the officer’s continuous service and achievement of pre-established goals measured as of December 31, 2028. These awards are granted under the 2026 Omnibus Incentive Plan.

Were ARQ’s equity awards to the chief accounting officer granted under a Rule 10b5-1 plan?
No. The filing indicates that these equity grants were not made under a Rule 10b5-1 trading plan; they are compensation-related grants under Arq’s 2026 Omnibus Incentive Plan and as an employment inducement.

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SEC Form 4
FORM 4UNITED 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*
Owino Peter Oluoch
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Accounting Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
09/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock09/01/2026A100,000A$0100,000(1)D
Common Stock09/01/2026A61,047A$0161,047(2)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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Performance Share Units(3)09/01/2026A61,047 (4)03/15/2029(4)Common Stock122,094(5)$061,047D
Explanation of Responses:
1. Represents restricted stock awards ("RSAs") granted to Mr. Owino as an employment inducement award. 33,333 RSAs will vest on each of September 1, 2027 and September 1, 2028, and 33,334 RSAs will vest on September 1, 2029.
2. Represents RSAs granted in accordance with the Issuer's long-term incentive plan under the Issuer's 2026 Omnibus Incentive Plan, approved by stockholders on June 10, 2026. The RSAs shall vest in three equal installments, on each of September 1, 2027, March 23, 2028, and March 23, 2029.
3. Represents performance share units ("PSUs") granted in accordance with the Issuer's long-term incentive plan under the Issuer's 2026 Omnibus Incentive Plan.
4. 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.
5. Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award.
Remarks:
/s/ Peter Oluoch Owino09/03/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR