Form 8-K

 

 

U.S. SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 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): June 7, 2011

 

 

ADA-ES, INC.

(Name of registrant as specified in its charter)

 

 

 

Colorado   000-50216   84-1457385

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification Number)

 

8100 SouthPark Way, Unit B, Littleton, Colorado   80120
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (303)734-1727

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:

 

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

 

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

 

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

 

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

 

 

 


Item 5.07 Submission of Matters to a Vote of Security Holders.

ADA-ES, Inc. (“ADA-ES”) held its 2011 Annual Meeting of Shareholders (the “Annual Meeting”) on June 7, 2011. At the Annual Meeting, shareholders considered and voted upon two proposals. The proposals, number of votes cast for, against or withheld, as well as the number of abstentions and broker non-votes as to each such matter are set forth below.

On March 29, 2011, the record date for the Annual Meeting, 7,605,938 shares of ADA-ES’s common stock were issued and outstanding.

 

  (1) Proposal: Elect nine directors of ADA-ES.

 

Votes

Director Name

 

For

 

Against

 

Broker Non-Votes

Robert N. Caruso

  1,920,846   297,075   3,054,775

Michael D. Durham

  1,899,489   318,432   3,054,775

John W. Eaves

  1,919,357   298,564   3,054,775

Derek C. Johnson

  1,919,521   298,400   3,054,775

Ronald B. Johnson

  1,891,446   326,475   3,054,775

W. Phillip Marcum

  1,922,121   295,800   3,054,775

Mark H. McKinnies

  1,873,357   344,564   3,054,775

Jeffrey C. Smith

  1,919,141   298,780   3,054,775

Richard J. Swanson

  1,909,925   307,996   3,054,775

 

  (2) Proposal: Ratify the Audit Committee’s selection of Erhardt, Keefe, Steiner & Hottman PC as ADA-ES’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

Votes

For

 

Against

 

Abstain

 

Broker Non-Votes

5,055,613

  50,412   166,671   0

Results: For Proposal (1), all director nominees were elected to the Board. Proposal (2) passed.


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: June 8, 2011

 

ADA-ES, Inc.

Registrant

/s/    MARK H. MCKINNIES        

Mark H. McKinnies
Senior Vice President and Chief Financial Officer