SEC Form 4 · accession 0001493152-15-002984
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos A Fernandez
Director
Period of report
Jul 13, 2015
Accepted (ET)
Jul 15, 2015 · 8:46 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 | 28,750 | — | A | 138,743 | 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 | 18,750 | D | — | Jul 11, 2024 | Common Stock | 18,750 | 37,500 | D |
| Restricted StockF1,F3 | — | Jul 13, 2015 | M | 10,000 | D | — | Jul 11, 2024 | Common Stock | 10,000 | 30,000 | D |
Explanation of responses
- F1Restricted stock converts into common stock on a one-for-one basis.
- F2This restricted stock award was granted on July 11, 2014 and vests as to 18,750 shares on each of January 11, 2015, July 11, 2015, January 11, 2016 and July 11, 2016.
- F3This restricted stock award was granted on July 11, 2014 and vests as to 10,000 shares on each of July 11, 2015, July 11, 2016, July 11, 2017 and July 11, 2018.