Eco-Stim Energy Solutions (ESESQ) Form 4 Eco-Stim Energy Solutions / Carlos A Fernandez ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Fernandez Carlos A

(Last) (First) (Middle)

2930 W. SAM HOUSTON PKWY. N., SUITE 275

(Street)

HOUSTON TX 77043

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Eco-Stim Energy Solutions, Inc. [ ESES ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Executive Vice President

3. Date of Earliest Transaction (Month/Day/Year)
06/15/2017

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/15/2017		A		275,000	A	$0	505,618	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option	$1.41	06/15/2017(1)		A		500,000		(1)	06/15/2027	Common Stock	500,000	$0	500,000	D
Stock Option	$2	06/15/2017(2)		A		100,000		(2)	06/15/2027	Common Stock	100,000	$0	100,000	D
Stock Option	$2.5	06/15/2017(3)		A		150,000		(3)	06/15/2027	Common Stock	150,000	$0	150,000	D

Explanation of Responses:

1. This stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 125,000 shares on December 4, 2017, May 4, 2018, December 4, 2018, and May 4, 2019.

2. This 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.

3. This stock option was granted on May 4, 2017, became effective on June 15, 2017 and vests as to 37,500 shares on December 4, 2017, May 4, 2018, December 4, 2018, and May 4, 2019.

	/s/ Jon Christopher Boswell	06/19/2017
	** Signature of Reporting Person	Date
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