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

Item 6.

CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER

Item 6 of the Schedule 13D is hereby amended and restated, as follows:

Except as otherwise described herein or in Item 4 of this Schedule 13D, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the person enumerated in Item 2 and any other person with respect to any securities of the Issuer, including but not limited to transfer or voting of any other securities, finder’s fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, divisions of profits or loss, or the giving or withholding of proxies, including any securities pledged or otherwise subject to a contingency the occurrence of which would give another person voting power or investment power over such securities other than standard default and similar provisions contained in loan agreements.

(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. 4, there have been no transactions in the Common Stock effected by the Reporting Person since the filing of Amendment No. 3.

(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:

13.	Securities Purchase Agreement (incorporated by reference to Exhibit No. 10.1 to the April 2018 Form 8-K).

14.	Certificate of Designation (incorporated by reference to Exhibit No. 3.1 to the April 2018 Form 8-K).

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

Published on April 3, 2018 at 11:20 am by Insider Monkey Staff in Hedge Funds

Page 5 of 6 – SEC Filing

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