SEC Form 4 · accession 0001493152-16-010466
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
May 27, 2016
Accepted (ET)
Jun 1, 2016 · 3:53 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 Stock | May 27, 2016 | A | 20,000 | $0.00 | A | 290,188 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $3.00 | May 27, 2016 | A | 17,500 | A | — | May 27, 2026 | Common Stock | 17,500 | 17,500 | D |
Explanation of responses
- F1This stock option was granted on May 27, 2016 and vests as to 4,375 shares on May 27, 2017, May 27, 2018, May 27, 2019, and May 27, 2020.