ADES » Topics » SIGNATURES

This excerpt taken from the ADES 8-K filed Jan 5, 2010.

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 thereunto duly authorized.

Date: January 5, 2010

 

ADA-ES, Inc.

Registrant

/s/    MARK H. MCKINNIES

Mark H. McKinnies
Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 8-K filed Dec 11, 2009.

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 thereunto duly authorized.

Date: December 10, 2009

 

ADA-ES, Inc.
Registrant

/s/    MARK H. MCKINNIES        

Mark H. McKinnies
Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 8-K filed Nov 17, 2009.

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 thereunto duly authorized.

Date: November 17, 2009

 

ADA-ES, Inc.

Registrant

/s/    MARK H. MCKINNIES        

Mark H. McKinnies

Senior Vice President and Chief Financial Officer

This excerpt taken from the ADES 8-K filed Nov 16, 2009.

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 thereunto duly authorized.

Date: November 16, 2009

 

ADA-ES, Inc.
Registrant

/s/    MARK H. MCKINNIES        

Mark H. McKinnies
Senior Vice President and Chief Financial Officer
This excerpt taken from the ADES 8-K filed Nov 3, 2009.

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 thereunto duly authorized.

Date: November 3, 2009

 

ADA-ES, Inc.
Registrant

/S/    MARK H. MCKINNIES        

Mark H. McKinnies
Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 8-K filed Oct 30, 2009.

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 thereunto duly authorized.

 

      ADA-ES, Inc.
      Registrant
Date: October 30, 2009     By:  

/S/    MARK H. MCKINNIES

        Mark H. McKinnies
        Senior VP & Chief Financial Officer

 

4

This excerpt taken from the ADES 8-K filed Oct 13, 2009.

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 thereunto duly authorized.

Date: October 13, 2009

 

ADA-ES, Inc.

Registrant

/s/ Michael D. Durham

Michael D. Durham

President and Chief Executive Officer


This excerpt taken from the ADES 8-K filed Sep 9, 2009.

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 thereunto duly authorized.

Date: September 9, 2009

 

ADA-ES, Inc.

Registrant

/s/    Mark H. McKinnies

Mark H. McKinnies

Senior Vice President and Chief Financial Officer

 


This excerpt taken from the ADES 8-K filed Sep 9, 2009.

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 thereunto duly authorized.

Date: September 9, 2009

 

ADA-ES, Inc.

Registrant

/s/     Mark H. McKinnies

Mark H. McKinnies
Senior Vice President and Chief Financial Officer
This excerpt taken from the ADES 8-K filed Aug 13, 2009.

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 thereunto duly authorized.

Date: August 13, 2009

 

ADA-ES, Inc.

Registrant

/s/    Mark H. McKinnies

Mark H. McKinnies
Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 8-K filed Jul 2, 2009.

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 thereunto duly authorized.

 

        ADA-ES, Inc.
    Registrant
Date: July 1, 2009     By:  

/s/    Mark H. McKinnies

      Mark H. McKinnies
      Senior VP & Chief Financial Officer

 

3

This excerpt taken from the ADES 8-K filed Jun 8, 2009.

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 thereunto duly authorized.

Date: June 8, 2009

 

ADA-ES, Inc.

Registrant

/s/    Mark H. McKinnies

Mark H. McKinnies

Senior Vice President and Chief Financial Officer

This excerpt taken from the ADES 8-K filed Jun 8, 2009.

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 thereunto duly authorized.

 

   

ADA-ES, Inc.

Registrant

Date: June 8, 2009     By:   /s/ Mark H. McKinnies
        Mark H. McKinnies
        Senior VP & Chief Financial Officer

 

3

This excerpt taken from the ADES 8-K filed May 19, 2009.

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 thereunto duly authorized.

Date: May 19, 2009

 

ADA-ES, Inc.
Registrant
/s/    Mark H. McKinnies
Mark H. McKinnies
Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 10-Q filed May 14, 2009.

SIGNATURES

In accordance with the requirements of the Securities Exchange Act of 1934, the Registrant caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

    ADA-ES, Inc.
        Registrant
Date: May 14, 2009     /s/ Michael D. Durham
    Michael D. Durham
    President and Chief Executive Officer
Date: May 14, 2009     /s/ Mark H. McKinnies
    Mark H. McKinnies
    Chief Financial Officer

 

23


EXHIBIT INDEX

 

10.59    Site Work Agreement between Red River Environmental Products, LLC and BE&K Construction Company, LLC dated January 23, 2009
10.60    First Amendment to the Securities Purchase Agreement between ADA-ES, Inc. and Energy Capital Partners I, LP, Energy Capital Partners I-A LP, Energy Capital Partners I-B, LP and Energy Capital Partners I (TEF IP), LP dated March 6, 2009
10.61    Second Amendment to ADA Carbon Solutions, LLC Limited Liability Company Agreement dated March 6, 2009
10.62    First Amendment to the Carbon Supply Agreement between Red River Environmental Products, LLC and Luminant Generation Company, LLC dated March 31, 2009**
10.63    Second Amendment to the Agreement for the Purchase of Activated Carbon between Red River Environmental Products, LLC and Southern Company Services, Inc. dated February 26, 2009
31.1*    Certification of Chief Executive Officer of ADA-ES, Inc. Pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a)
31.2*    Certification of Chief Financial Officer of ADA-ES, Inc. Pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a)
32.1*    Certification of Chief Executive Officer of ADA-ES, Inc. Pursuant to 18 U.S.C Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
32.2*    Certification of Chief Financial Officer of ADA-ES, Inc. Pursuant to 18 U.S.C Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

* These certifications are “furnished” and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.

 

** Portions of this exhibit have been omitted pursuant to a request for confidential treatment.

 

24

This excerpt taken from the ADES 8-K filed May 14, 2009.

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 thereunto duly authorized.

Date: May 14, 2009

 

ADA-ES, Inc.
Registrant
/s/ Mark H. McKinnies

Mark H. McKinnies

Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 8-K filed Apr 6, 2009.

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 thereunto duly authorized.

 

   

ADA-ES, Inc.

Registrant

  Date: April 6, 2009     By:   /s/ Mark H. McKinnies
      Mark H. McKinnies
      Senior VP & Chief Financial Officer

 

3

This excerpt taken from the ADES 8-K filed Apr 1, 2009.

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 thereunto duly authorized.

Date: April 1, 2009

 

ADA-ES, Inc.

Registrant

/s/ Mark H. McKinnies
Mark H. McKinnies
Senior Vice President and Chief Financial Officer
These excerpts taken from the ADES 10-K filed Mar 27, 2009.

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Exchange Act, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

ADA-ES, Inc.     
(Registrant)     
By  

/s/ Mark H. McKinnies

    

/s/ Michael D. Durham

  Mark H. McKinnies, Senior Vice      Michael D. Durham
  President and Chief Financial Officer
(Principal Financial and Accounting Officer)
     President (Chief Executive Officer)
Date: March 27, 2009      March 27, 2009

Pursuant to the requirements of the Exchange Act, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.

 

/s/ John W. Eaves

    

/s/ Walter P. Marcum

John W. Eaves, Director      Walter P. Marcum, Director
Date: March 27, 2009      Date: March 27, 2009

/s/ Jeffrey C. Smith

    

/s/ Michael D. Durham

Jeffrey C. Smith, Director      Michael D. Durham, Director
Date: March 27, 2009      Date: March 27, 2009

/s/ Mark H. McKinnies

    

/s/ Ronald B. Johnson

Mark H. McKinnies, Director      Ronald B. Johnson, Director
Date: March 27, 2009      Date: March 27, 2009

/s/ Robert N. Caruso

    

/s/ Richard Swanson

Robert N. Caruso, Director      Richard Swanson, Director
Date: March 27, 2009      Date: March 27, 2009

/s/ Derek C. Johnson

    
Derek C. Johnson, Director     
Date: March 27, 2009     

 

41


SIGNATURES

Pursuant
to the requirements of Section 13 or 15(d) of the Exchange Act, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

STYLE="font-size:12px;margin-top:0px;margin-bottom:0px"> 















































ADA-ES, Inc.    
(Registrant)    
By 

/s/ Mark H. McKinnies

    

/s/ Michael D. Durham

 Mark H. McKinnies, Senior Vice    Michael D. Durham
 President and Chief Financial Officer
(Principal Financial and Accounting Officer)
    President (Chief Executive Officer)
Date: March 27, 2009    March 27, 2009

Pursuant to the requirements of the Exchange Act, this report has been signed below by the following persons on
behalf of the Registrant and in the capacities and on the dates indicated.

 


































































































/s/ John W. Eaves

    

/s/ Walter P. Marcum

John W. Eaves, Director    Walter P. Marcum, Director
Date: March 27, 2009    Date: March 27, 2009

/s/ Jeffrey C. Smith

    

/s/ Michael D. Durham

Jeffrey C. Smith, Director    Michael D. Durham, Director
Date: March 27, 2009    Date: March 27, 2009

/s/ Mark H. McKinnies

    

/s/ Ronald B. Johnson

Mark H. McKinnies, Director    Ronald B. Johnson, Director
Date: March 27, 2009    Date: March 27, 2009

/s/ Robert N. Caruso

    

/s/ Richard Swanson

Robert N. Caruso, Director    Richard Swanson, Director
Date: March 27, 2009    Date: March 27, 2009

/s/ Derek C. Johnson

    
Derek C. Johnson, Director    
Date: March 27, 2009    

 


41








This excerpt taken from the ADES 8-K filed Mar 25, 2009.

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 thereunto duly authorized.

Date: March 25, 2009

 

ADA-ES, Inc.

Registrant

/s/ Mark H. McKinnies

Mark H. McKinnies

Chief Financial Officer


This excerpt taken from the ADES 8-K filed Mar 25, 2009.

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 thereunto duly authorized.

Date: March 25, 2009

 

ADA-ES, Inc.

Registrant

/s/ Mark H. McKinnies
Mark H. McKinnies
Chief Financial Officer


This excerpt taken from the ADES 8-K filed Mar 9, 2009.

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 thereunto duly authorized.

 

      ADA-ES, Inc.
      Registrant
Date: March 9, 2009     By:   /s/ Mark H. McKinnies
        Mark H. McKinnies
        Senior VP & Chief Financial Officer

 

4

This excerpt taken from the ADES 8-K filed Mar 4, 2009.

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 thereunto duly authorized.

 

    ADA-ES, Inc.
    Registrant
Date: March 4, 2009     /s/ Mark H. McKinnies
   

Mark H. McKinnies

Senior VP & Chief Financial Officer

This excerpt taken from the ADES 8-K filed Feb 19, 2009.

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 thereunto duly authorized.

Date: February 19, 2009

 

ADA-ES, Inc.

Registrant

/s/    Mark H. McKinnies

Mark H. McKinnies

Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 8-K filed Feb 2, 2009.

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 thereunto duly authorized.

 

    ADA-ES, Inc.
    Registrant
Date: February 2, 2009     /s/ Mark H. McKinnies
    Mark H. McKinnies
    Senior VP & Chief Financial Officer
This excerpt taken from the ADES 8-K filed Jan 13, 2009.

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 thereunto duly authorized.

Date: January 12, 2009

 

ADA-ES, Inc.

Registrant

/s/ Mark H. McKinnies

Mark H. McKinnies

Senior Vice President and Chief Financial Officer


This excerpt taken from the ADES 8-K filed Jan 12, 2009.

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 thereunto duly authorized.

 

   

ADA-ES, Inc.

Registrant

Date: January 12, 2009     /s/ Mark H. McKinnies
    Mark H. McKinnies
    Senior VP & Chief Financial Officer
This excerpt taken from the ADES 10-Q filed Dec 24, 2008.

SIGNATURES

In accordance with the requirements of the Securities Exchange Act of 1934, the Registrant caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

 

ADA-ES, Inc.

Registrant

Date: December 24, 2008   /s/ Michael D. Durham
  Michael D. Durham
  President and Chief Executive Officer
Date: December 24, 2008   /s/ Mark H. McKinnies
  Mark H. McKinnies
  Chief Financial Officer

 

2


EXHIBIT INDEX

 

  3.1    Amended and Restated Articles of Incorporation of ADA-ES (1)
  3.2    Amended and Restated Bylaws of ADA-ES (2)
  4.1    Form of Specimen Common Stock Certificate (3)
  4.2    Registration Rights Agreement dated October 21, 2005 (4)
  4.3    Registration Rights Agreement between ADA-ES, Inc. and Arch Coal, Inc. dated March 19, 2003 (5)
  4.4    Standstill and Registration Rights Agreements dated August 3-6, 2004(6)
  4.5    Registration Rights Agreement among ADA-ES, Inc., Perella Weinberg Partners Oasis Master Fund L.P., Black River Commodity Select Fund Ltd. and Black River Small Capitalization Fund Ltd. dated August 26, 2008 (5)
10.38    Project Crowfoot Incentive Program, as amended and restated on August 13, 2008 and October 15, 2008**, ***
10.47    Carbon Supply Agreement between Winfield Industries, Inc and ADA-ES, Inc. dated August 6, 2008 (assigned to Crowfoot Supply Company, LLC on October 1, 2008)**
10.48    Promissory Note and Account Pledge Agreement for Colorado Business Bank Letter of Credit dated August 15, 2008**
10.49    Carbon Supply Agreement between Red River Environmental Products, LLC and Luminant Generation Company, LLC dated September 3, 2008**
10.50    Multiple Hearth Furnace (MHF) Contract between Industrial Furnace Company, Inc and Red River Environmental Products, LLC dated September 5, 2008**
  

(a)    Unit 1- Project No. 65214-RFP No. EFH-101

  

(b)    Unit 2- Project No. 65214-RFP No. EFH-101

  

(c)    Unit 3- Project No. 65214-RFP No. EFH-101

  

(d)    Unit 4- Project No. 65214-RFP No. EFH-101

10.51    Amended and Restated Engineering, Procurement and Construction Agreement between Red River Environmental Products, LLC and BE&K Construction Company, LLC dated September 8, 2008**
10.52    Guaranty of ADA-ES, Inc. to BE&K Construction Company, LLC dated September 8, 2008 regarding Amended and Restated Engineering, Procurement and Construction Agreement**
10.53    Securities Purchase Agreement between ADA-ES, Inc. and Energy Capital Partners I, LP, Energy Capital Partners I-A LP, Energy Capital Partners I-B, LP and Energy Capital Partners I (TEF IP), LP dated October 1, 2008**
10.54    Joint Development Agreement between ADA-ES, Inc. and Energy Capital Partners I, LP, Energy Capital Partners I-A LP, Energy Capital Partners I-B IP, LP and Energy Capital Partners I (Crowfoot IP), LP dated October 1, 2008
10.55    Limited Liability Company Agreement of Crowfoot Development, LLC dated October 1, 2008**
10.56    Intellectual Property License Agreement between ADA-ES, Inc. and Crowfoot Development, LLC dated October 1, 2008**
31.1*    Certification of Chief Executive Officer of ADA-ES, Inc. Pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a)
31.2*    Certification of Chief Financial Officer of ADA-ES, Inc. Pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a)
32.1*    Certification of Chief Executive Officer of ADA-ES, Inc. Pursuant to 18 U.S.C Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
32.2*    Certification of Chief Financial Officer of ADA-ES, Inc. Pursuant to 18 U.S.C Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

* These certifications are “furnished” and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.

 

** Portions of this exhibit have been omitted pursuant to a request for confidential treatment.

 

*** Management contract or compensatory plan or arrangement.

 

(1) Incorporated by reference to Exhibit 3.1 to the Form 10-QSB for the quarter ended September 30, 2005 filed on November 10, 2005 (File No. 000-50216).

 

(2) Incorporated by reference to Exhibit 3.2 to the Form 8-K dated December 1, 2005 filed on December 5, 2005 (File No. 000-50216).

 

(3) Incorporated by reference to Exhibit 4.1 to the Form 8-K dated October 21, 2005 filed on October 26, 2005 (File No. 000-50216).

 

(4) Incorporated by reference to Exhibit 10.1 to the Form 8-K dated October 21, 2005 filed on October 26, 2005 (File No. 000-50216).

 

(5) Incorporated by reference to Exhibit A to Exhibit 10.1 to the Form S-3 filed on October 18, 2004 (File No. 333-119795).

 

(6) Incorporated by reference to Exhibit 10.29 to the Form 10-K for the year ended December 31, 2006 filed on March 27, 2007 (File No. 000-50216).

 

3

This excerpt taken from the ADES 8-K filed Dec 9, 2008.

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 thereunto duly authorized.

Date: December 8, 2008

 

ADA-ES, Inc.
Registrant
/s/ Mark H. McKinnies
Mark H. McKinnies
Senior Vice President and Chief Financial Officer


INDEX TO EXHIBITS

 

Exhibit No.

  

Description

99.1    Press Release Dated December 8, 2008.
This excerpt taken from the ADES 8-K filed Dec 2, 2008.

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 thereunto duly authorized.

Date: December 1, 2008

 

ADA-ES, Inc.

Registrant

/s/ Mark H. McKinnies

Mark H. McKinnies

Senior Vice President and Chief Financial Officer

This excerpt taken from the ADES 8-K filed Nov 10, 2008.

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 thereunto duly authorized.

Date: November 7, 2008

 

ADA-ES, Inc.

Registrant

/s/ Mark H. McKinnies

Mark H. McKinnies

Senior Vice President and Chief Financial Officer


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