SEC Form 4 · accession 0001493152-18-014644
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
Sep 28, 2018
Accepted (ET)
Oct 18, 2018 · 6:00 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 StockF1,F2 | Sep 28, 2018 | F | 82,182 | $0.28 | D | 675,017 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F182,182 shares of common stock were withheld for taxes upon the vesting of phantom stock awards.
- F2Phantom stock awards of 200,000 shares, with vesting terms based upon the occurrence of certain transactions, terminated without vesting on September 28, 2018.