SEC Form 4 · accession 0001493152-17-006867
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Alexander Nickolatos
Officer — Chief Financial Officer
Period of report
Jun 15, 2017
Accepted (ET)
Jun 19, 2017 · 8:09 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 | Jun 15, 2017 | A | 250,000 | $0.00 | A | 357,250 | 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 | $1.41 | Jun 15, 2017 | A | 450,000 | A | — | Jun 15, 2027 | Common Stock | 450,000 | 450,000 | D |
| Stock OptionF2 | $2.00 | Jun 15, 2017 | A | 100,000 | A | — | Jun 15, 2027 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF3 | $2.50 | Jun 15, 2017 | A | 100,000 | A | — | Jun 15, 2027 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1This stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 112,500 shares on December 4, 2017, May 4, 2018, December 4, 2018, and May 4, 2019.
- F2This stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 25,000 shares on December 4, 2017, May 4, 2018, December 4, 2018, and May 4, 2019.
- F3This stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 25,000 shares on December 4, 2017, May 4, 2018, December 4, 2018, and May 4, 2019.