13D Filing: Fir Tree and Eco-Stim Energy Solutions Inc. (ESES)

Item 5.

INTEREST IN SECURITIES OF THE ISSUER

Item 5 of the Schedule 13D is hereby amended and restated, as follows:

(a)

See rows (11) and (13) of the cover pages to this Schedule 13D for the aggregate number of shares of Common Stock and percentages of the shares of Common Stock beneficially owned by the Reporting Person (see also the Proxy Right described in Item 4 of Schedule 13D). The percentages used in this Schedule 13D are calculated based upon an aggregate of 54,783,376 shares of Common Stock outstanding, which is the sum of (i) 44,783,376 shares of Common Stock issued and outstanding as of July 6, 2017, as set forth in the Purchase Agreement and (ii) 10,000,000 shares of Common Stock issued by the Issuer on July 6, 2017 pursuant to the Purchase Agreement.

(b)

See rows (7) through (10) of the cover pages to this Schedule 13D for the number of shares of Common Stock as to which each Reporting Person has the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition (see also the Proxy Right described in Item 4 of the Schedule 13D).

(c)

Except as set forth in this Amendment No. 2, there have been no transactions in the Common Stock effected by the Reporting Person since the filing of Amendment No. 1.

(d)

No person other than the Reporting Person and the Fir Tree Funds is known to have the right to receive, or the power to direct the receipt of dividends from, or proceeds from the sale of, the shares of Common Stock held by the Fir Tree Funds.

(e)

Not applicable.

Item 7.	MATERIAL TO BE FILED AS EXHIBITS

	Item 7 of the Schedule 13D is hereby amended and supplemented by the addition of the following:

7.	Purchase Agreement (incorporated by reference to Exhibit No. 10.1 to the July 2017 Form 8-K).

8.	A&R Registration Rights Agreement (incorporated by reference to Exhibit No. 10.2 to the July 2017 Form 8-K).

9.	First Amendment to A&R Stockholder Rights Agreement (incorporated by reference to Exhibit No. 10.3 to the July 2017 Form 8-K).

13D Filing: Fir Tree and Eco-Stim Energy Solutions Inc. (ESES)

Published on July 10, 2017 at 11:07 am by Insider Monkey Staff in Hedge Funds

Page 5 of 6 – SEC Filing

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