4//SEC Filing
Eco-Stim Energy Solutions, Inc. 4
Accession 0001493152-15-004529
CIK 0001135657operating
Filed
Sep 24, 8:00 PM ET
Accepted
Sep 25, 7:18 PM ET
Size
9.5 KB
Accession
0001493152-15-004529
Insider Transaction Report
Form 4
Chan Lap Wai
Director
Transactions
- Award
Stock Option
2015-09-18$4.75/sh+30,000$142,500→ 45,000 total(indirect: See footnotes)Exercise: $4.75Exp: 2025-09-18→ Common Stock (30,000 underlying) - Award
Stock Option
2015-09-18$4.75/sh+15,000$71,250→ 15,000 total(indirect: See footnotes)Exercise: $4.75Exp: 2025-09-18→ Common Stock (15,000 underlying)
Footnotes (5)
- [F1]This Stock Option was granted to the Reporting Person on September 18, 2015 and vests as to 3,750 shares on each of March 18, 2016, September 18, 2016, March 18, 2017, and September 18, 2017.
- [F2]The Reporting Person has irrevocably transferred his right, title and interest under his Stock Option agreement to ACM Emerging Markets Master Fund I, L.P. (the "Fund").
- [F3]This represents two separate Stock Options, each consisting of the right and option to purchase 15,000 shares of Common Stock of Eco-Stim Energy Solutions, Inc. (the "Issuer"), granted to each of Ahmad Al-Sati and John Yonemoto, respectively, on September 18, 2015. Each Stock Option vests as to 3,750 shares on each of March 18, 2016, September 18, 2016, March 18, 2017, and September 18, 2017.
- [F4]Ahmad Al-Sati and John Yonemoto have each irrevocably transferred their right, title and interest under their Stock Option agreements to the Fund.
- [F5]The Reporting Person is a managing director of Albright Capital Management LLC (the "GP"), the general partner of the Fund, and accordingly may have an indirect pecuniary interest in the securities of the Issuer beneficially owned by the Fund. Such indirect pecuniary interest cannot be calculated through a proportionate allocation of securities of the Issuer. Therefore, the entire amount of the Fund's interest is being reported. The Reporting Person disclaims beneficial ownership of the securities of the Issuer held by the Fund, except to the extent of his pecuniary interest therein.
Documents
Issuer
Eco-Stim Energy Solutions, Inc.
CIK 0001135657
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0001135657
Filing Metadata
- Form type
- 4
- Filed
- Sep 24, 8:00 PM ET
- Accepted
- Sep 25, 7:18 PM ET
- Size
- 9.5 KB