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