SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/03/2017 | 3. Issuer Name and Ticker or Trading Symbol Eco-Stim Energy Solutions, Inc. [ ESES ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock, Eco-Stim Energy Solutions, Inc. | 1,507,696 | D(1)(2)(3) | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. All of the reported shares are owned directly by Bienville Argentina Opportunities Fund 2.0, LP (the "Fund"), whose general partner is BAOF 2.0 GP, LLC ("General Partner"), and whose investment manager is Bienville Capital Management, LLC ("Investment Manager"). The General Partner and Investment Manager could be deemed to be indirect beneficial owners of 1,507,696 Common Stock of Eco-Stim Energy Solutions, Inc. ("the reported shares"). William Herbert Stimpson II and Michael Cullen Thompson, Jr (collectively, "Managers") are the managers and direct or indirect controlling shareholders of the General Partner and the Investment Manager. Additionally, Donald Stoltz III ("Portfolio Manager") serves as the portfolio manager of the Investment Manager with respect to securities of the Issuer. Mr. Stoltz is also a member of the board of directors of the Issuer and separately files Section 16 forms in such capacity. |
| 2. As such, the Managers and Portfolio Manager could be deemed to share such indirect beneficial ownership of the reported shares with the General Partner, the Investment Manager and the Fund.The General Partner, the Investment Manager, the Managers, and the Portfolio Manager disclaim beneficial ownership except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purposes. |
| 3. The address of William H. Stimpson, II, M. Cullen Thompson, Jr., and Donald Stoltz, III, is 521 Fifth Avenue, 35th Floor New York, NY 10175. |
| /s/ Donald Stoltz, III on behalf of Bienville Argentina Opportunities Fund 2.0, LP, BAOF 2.0 GP, LLC, its General Partner, by Donald Stoltz, III, Chief Operating Officer | 04/13/2017 | |
| /s/ William H. Stimpson, II, on behalf of Bienville Capital Management, LLC, as Investment Manager of Bienville Argentina Opportunities Master Fund, LP and Bienville Argentina Opportunities Fund 2.0, LP, by William H. Stimpson, II, Managing Member | 04/13/2017 | |
| ** 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 5 (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. | ||