X0206 3 2013-12-11 0 0001135657 Eco-Stim Energy Solutions, Inc. ESES 0001617601 Romestrand Jogeir 2930 W. SAM HOUSTON PKWY. N. SUITE 275 HOUSTON TX 77043 1 0 0 0 Common Stock 120495 I By Rome, AS, Co Stock Option 6.00 2023-10-24 Common Stock 10000 I By Rome, AS, Co 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 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 considered 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 stock option was granted on October 24, 2013 and vests as to 2,500 shares on each of April 24, 2014, October 24, 2014, April 24, 2015 and October 24, 2015. Exhibit List: Exhibit 24 - Power of Attorney /s/ Alexander Nickolatos, Attorney-in-Fact 2014-10-10