SEC Form 4/A · accession 0001493152-17-012226
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
Jon Christopher Boswell
Officer — President and CEO · Director
Period of report
Jun 15, 2017
Accepted (ET)
Oct 31, 2017 · 6:48 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 | Jun 15, 2017 | A | 275,000 | $0.00 | A | 592,938 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $1.41 | Jun 15, 2017 | A | 500,000 | A | — | Jun 15, 2027 | Common Stock | 500,000 | 500,000 | D |
| Stock OptionF3 | $2.00 | Jun 15, 2017 | A | 100,000 | A | — | Jun 15, 2027 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF4 | $2.50 | Jun 15, 2017 | A | 200,000 | A | — | Jun 15, 2027 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1This amendment is being filed to reflect that the filer received a phantom stock award of 275,000 shares on May 4, 2017, which vests as to 68,750 shares on each of November 4, 2017, May 4, 2018, November 4, 2018 and May 4, 2019.
- F2This amendment is being filed to correctly reflect that this stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 125,000 shares on November 4, 2017, May 4, 2018, November 4, 2018, and May 4, 2019.
- F3This amendment is being filed to correctly reflect that this stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 25,000 shares on November 4, 2017, May 4, 2018, November 4, 2018, and May 4, 2019.
- F4This amendment is being filed to correctly reflect that this stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 50,000 shares on November 4, 2017, May 4, 2018, November 4, 2018, and May 4, 2019.
Remarks
Exhibit 24 - Power of Attorney