SEC Form 4 · accession 0001493152-15-005969
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon Christopher Boswell
Officer — President and CEO · Director
Period of report
Dec 1, 2015
Accepted (ET)
Dec 1, 2015 · 3:20 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 | Dec 1, 2015 | M | 5,000 | — | A | 270,188 | 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 | — | Dec 1, 2015 | M | 5,000 | D | — | Dec 1, 2024 | Common Stock | 5,000 | 15,000 | D |
Explanation of responses
- F1Restricted stock converts into Common Stock on a one-for-one basis.
- F2This restricted stock award was granted on December 1, 2014 and vests as to 5,000 shares on December 1, 2015, December 1, 2016, December 1, 2017, and December 1, 2018.