SEC Form 4/A · accession 0001493152-15-005561
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Alexander Nickolatos
Officer — Chief Financial Officer
Period of report
Jan 11, 2015
Accepted (ET)
Nov 16, 2015 · 4:27 pm EST
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,F3 | Jan 11, 2015 | M | 6,250 | — | A | 57,250 | D | |
| Common StockF2,F3 | Jul 13, 2015 | M | 6,250 | — | A | 63,500 | D | |
| Common StockF2,F3 | Jul 13, 2015 | M | 7,500 | — | A | 71,000 | 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,F3,F4 | — | Jan 11, 2015 | M | 6,250 | D | — | Jul 11, 2024 | Common Stock | 6,250 | 18,750 | D |
| Restricted StockF2,F3,F4 | — | Jul 13, 2015 | M | 6,250 | D | — | Jul 11, 2024 | Common Stock | 6,250 | 12,500 | D |
| Restricted StockF2,F3,F5 | — | Jul 13, 2015 | M | 7,500 | D | — | Jul 11, 2024 | Common Stock | 7,500 | 22,500 | D |
Explanation of responses
- F1This line item is added to report a delinquent transaction for the vesting of 6,250 shares of restricted stock on 01/11/2015 that was not reported due to an administrative oversight.
- F2The line items in Table I and Table II of the original filing is each amended and restated herein as two separate line items in order to more accurately describe the restricted stocks held by the reporting person, a portion of which were described as vesting annually in the original filing due to an administrative oversight.
- F3Restricted stock converts into Common Stock on a one-for-one basis.
- F4This restricted stock award was granted on July 11, 2014 and vests as to 6,250 shares on each of January 11, 2015, July 11, 2015, January 11, 2016 and July 11, 2016.
- F5This restricted stock award was granted on July 11, 2014 and vests as to 7500 shares on each of July 11, 2015, July 11, 2016 , July 11, 2017 and July 11, 2018.