0000902664-18-001827.txt : 20180402 0000902664-18-001827.hdr.sgml : 20180402 20180402190300 ACCESSION NUMBER: 0000902664-18-001827 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180329 FILED AS OF DATE: 20180402 DATE AS OF CHANGE: 20180402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FIR TREE CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001056491 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36909 FILM NUMBER: 18730830 BUSINESS ADDRESS: STREET 1: 55 WEST 46TH STREET STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2123983500 MAIL ADDRESS: STREET 1: 55 WEST 46TH STREET STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: FIR TREE INC. DATE OF NAME CHANGE: 20111129 FORMER NAME: FORMER CONFORMED NAME: FIR TREE INC DATE OF NAME CHANGE: 19990510 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Eco-Stim Energy Solutions, Inc. CENTRAL INDEX KEY: 0001135657 STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389] IRS NUMBER: 208203420 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2930 W SAM HOUSTON PARKWAY N STREET 2: SUITE 275 CITY: HOUSTON STATE: TX ZIP: 77041 BUSINESS PHONE: (408) 873-0400 MAIL ADDRESS: STREET 1: 2930 W SAM HOUSTON PARKWAY N STREET 2: SUITE 275 CITY: HOUSTON STATE: TX ZIP: 77041 FORMER COMPANY: FORMER CONFORMED NAME: VISION GLOBAL SOLUTIONS INC DATE OF NAME CHANGE: 20010228 4 1 p18-0929form4.xml ECO-STIM ENERGY SOLUTIONS, INC. X0306 4 2018-03-29 0 0001135657 Eco-Stim Energy Solutions, Inc. ESES 0001056491 FIR TREE CAPITAL MANAGEMENT LP 55 WEST 46TH STREET 29TH FLOOR NEW YORK NY 10036 1 0 1 1 See Remarks Series A Convertible Preferred Stock ("Preferred Stock") 2018-03-29 4 A 0 10000 1000 A Common Stock, $0.001 par value per share ("Common Stock") 8695652 10000 I See footnote The initial conversion price of the Series A Preferred Stock equals $1.15 and is subject to adjustment for stock splits, combinations, certain distributions or similar events. The Preferred Stock is convertible at any time, at the holder's election, and has no expiration date. The Preferred Stock accrues dividends which may, under certain circumstances, be paid in shares of Common Stock. The securities to which this filing relates are held directly by certain private-pooled investment vehicles for which the Reporting Person serves as the investment manager (the "Funds"). The Reporting Person is the investment manager of the Funds, and has been granted investment discretion over portfolio investments, including the securities held by the Funds. The Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the Reporting Person's pecuniary interest in the securities. Because Andrew Teno (an employee of the Reporting Person), Brian R. Stewart and Todd R. Snyder were each designated by the Reporting Person to the board of directors of the Issuer, the Reporting Person may be deemed to be a director by deputization. /s/ Fir Tree Capital Management, LP; By: Brian Meyer, its General Counsel 2018-04-02