SEC Form 4 · accession 0001398344-17-005073
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 3, 2017
Accepted (ET)
Apr 20, 2017 · 2:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001135657
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4 | Apr 3, 2017 | J | 1,507,696 | — | D | 1,471,838 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were transferred by the Reporting Person as part of an in-kind distribution of assets by the Reporting Person to certain of its investors who elected to roll over all or a portion of their investment in the Reporting Person to another investment fund via an in-kind contribution of securities to the other investment fund. Accordingly, there was no change in beneficial ownership of any investors with respect to the shares of the Issuer as a result of the transfer.
- F2All of the reported shares are owned directly by Bienville Argentina Opportunities Master Fund, LP ("Argentina Fund") whose general partner is BAOF GP, LLC (General Partner).
- F3Bienville Capital Management, LLC ("Investment Manager") serves as the investment manager of Argentina Fund. The General Partner and Investment Manager could be deemed to be indirect beneficial owners of the above listed Common Stock of the Issuer ("the reported shares"). William Herbert Stimpson II and Michael Cullen Thompson, Jr (collectively, "Managers") are the managers and direct or indirect controlling members of the General Partner and the Investment Manager. Additionally, Donald Stoltz III ("Portfolio Manager") serves as the portfolio manager of the Investment Manager responsible for matters related to the Issuer. As such, the Managers and Portfolio Manager could be deemed to share such indirect beneficial ownership of the reported shares with the General Partner and the Investment Manager, Argentina Fund.
- F4The address of William H Stimpson, II is 35 Old Norwalk Road, New Canaan, CT 06840. The address of M. Cullen Thompson Jr. is 124 31st Street Manhattan Beach, CA 90266. The address of Donald Stoltz III is 12 Vanderbilt Drive Livingston, NJ 07039. The General Partner, the Investment Manager, the Managers, and the Portfolio Manager disclaim beneficial ownership except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purposes.