SEC Form 4 · accession 0000899243-19-000145

Nuverra Environmental Solutions, Inc. · NES

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

10% Owner

10% Owner

Period of report

Dec 28, 2018

Accepted (ET)

Jan 2, 2019 · 5:46 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001403853

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1,F2	Dec 28, 2018	X	1,500,396	$9.61	A	6,927,674	D
Common Stock^F1,F2	Dec 28, 2018	P	108,013	$9.61	A	7,035,687	D
Common Stock^F1,F2	Jan 2, 2019	P	9,683	$9.2541	A	7,045,370	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Subscription Rights (right to buy)^F1,F2	$9.61	Dec 28, 2018	X	1,500,396	D	Dec 10, 2018	Dec 28, 2018	Common Stock	1,500,396	0	D

F1Gates Capital Management, L.P. ("Gates Capital"), acts as the investment manager to certain funds directly holding common stock, par value $0.01, of the issuer (the "Gates Capital Funds"). Gates Capital Management GP, LLC (the "General Partner") is the general partner of Gates Capital, with respect to the shares of common stock directly held by the Gates Capital Funds. Gates Capital Management, Inc. ("the Corporation"), is the managing member of the General Partner with respect to the shares of common stock directly held by the Gates Capital Funds. Jeffrey L. Gates serves as President of the Corporation with respect to the shares of common stock directly held by the Gates Capital Funds.
F2Each of Gates Capital, the General Partner, the Corporation and Jeffrey L. Gates, may be deemed to share beneficial ownership of the common stock of the issuer held by the Funds. Each of Gates Capital, the General Partner, the Corporation and Jeffrey L. Gates, disclaims beneficial ownership of the common stock held by the Funds except to the extent of its pecuniary interests.