X0206 3 2013-12-11 0 0001135657 Eco-Stim Energy Solutions, Inc. ESES 0001308916 Boswell J Chris 2930 W. SAM HOUSTON PKWY. N. SUITE 275 HOUSTON TX 77043 1 1 0 0 President and CEO Common Stock 257138 D Restricted Stock 0 2024-07-11 Common Stock 17000 D Stock Option 3.33 2014-08-28 2022-08-28 Common Stock 30048 D Stock Option 6.00 2023-10-24 Common Stock 125000 D Stock Option 6.00 2024-07-11 Common Stock 17000 D The filer received his shares of the Common Stock of the Company on December 11, 2013, pursuant to that certain Agreement and Plan of Reorganization dated as of September 18, 2013 (the "Merger Agreement"), by and among the Company (then named "Vision Global Solutions, Inc."), FRI Merger Sub, Inc., a wholly-owned Delaware subsidiary of the Company ("MergerCo"), and Frac Rock International, Inc., a privately-held Delaware corporation ("FRI"), pursuant to which MergerCo merged with and into FRI, with FRI surviving the merger as a wholly owned subsidiary of the Company (the "Merger"). Pursuant to the Merger Agreement, each of the filer's shares of FRI Common Stock was exchanged for one share of the Company's Common Stock, each of his options to purchase FRI Common stock was assumed by the Company and became options to purchase the same number of the Company's Common Stock, and the filer became an officer and a director of the Company. (Continued from footnote 1) In connection with the Merger, the Company amended and restated its articles of incorporation and changed its name to "Eco-Stim Energy Solutions, Inc." and commenced trading under the symbol "ESES" on the Over-the-Counter Bulletin Board (the "OTC Bulletin Board"). Before the Merger, the Company was considerd a "shell company" and had filed periodic reports under the Exchange Act. It is unclear whether the Company's securities were registered under Section 12 or whether the Company was a voluntary filer, but the Company has concluded that its executive officers and directors should comply with the reporting requirements of Section 16(a) of the Exchange Act. Accordingly, the filer is making this filing, which may be deemed to be a late reporting of the transactions listed herein. This restricted stock award was granted on July 11, 2014 and vests as to 4,250 shares on each of July 11, 2015, July 11, 2016, July 11, 2017 and July 11, 2018. This stock option was granted on October 24, 2013 and vests as to 31,250 shares on each of April 24, 2014, October 24, 2014, April 24, 2015 and October 24, 2015. This stock option was granted on July 11, 2014 and vests as to 4,250 shares on each of July 11, 2015, July 11, 2016, July 11, 2017 and July 11, 2018. Exhibit List: Exhibit 24 - Power of Attorney /s/ Alexander Nickolatos, Attorney-in-Fact 2014-10-10