SEC Form 4 · accession 0001493152-15-002982
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon Christopher Boswell
Officer — Chief Executive Officer · Director
Period of report
Jul 13, 2015
Accepted (ET)
Jul 15, 2015 · 8:42 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 | Jul 13, 2015 | M | 4,250 | — | A | 265,188 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF1,F2 | — | Jul 13, 2015 | M | 4,250 | D | — | Jul 11, 2024 | Common Stock | 4,250 | 12,750 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2This restricted stock award was granted on July 11, 2014 and vests as to 4,250 shares on July 11, 2015, July 11, 2016, July 11, 2017, and July 11, 2018.