Eco-Stim Energy Solutions (ESESQ) Form 4/A 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

OMB APPROVAL

OMB Number:	3235-0287
Estimated average burden
hours per response:	0.5

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)
06/19/2017

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	572,493(1)	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(2)		A		500,000		(2)	06/15/2027	Common Stock	500,000	$0	500,000	D
Stock Option	$2	06/15/2017(3)		A		100,000		(3)	06/15/2027	Common Stock	100,000	$0	100,000	D
Stock Option	$2.5	06/15/2017(4)		A		150,000		(4)	06/15/2027	Common Stock	150,000	$0	150,000	D

Explanation of Responses:

1. This 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.

2. This 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.

3. This 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.

4. This 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 37,500 shares on November 4, 2017, May 4, 2018, November 4, 2018, and May 4, 2019.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Christopher J. Arntzen, as attorney-in-fact	10/31/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.