SEC Form 4 · accession 0001493152-18-010215
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
Period of report
Jul 17, 2018
Accepted (ET)
Jul 19, 2018 · 5:00 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 | Jul 17, 2018 | A | 200,000 | $0.00 | A | 757,199 | D | |
| Common Stock | Jul 17, 2018 | A | 100,000 | $0.00 | A | 857,199 | D | |
| Common Stock | Jul 17, 2018 | A | 100,000 | $0.00 | A | 957,199 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 17, 2018, filer received a phantom stock award of 200,000 shares, which vests as to 50,000 shares on each of January 17, 2019, July 17, 2019, January 17, 2020 and July 17, 2020.
- F2On July 17, 2018, filer received a phantom stock award of 100,000 shares, which vests upon the occurrence of certain transactions.
- F3On July 17, 2018, filer received a phantom stock award of 100,000 shares, which vests upon the occurrence of certain transactions.