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

Page 7 of 9 – SEC Filing

Item 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER
Except as set forth in Item 4, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among the persons named in Item 2 hereof and between such persons and any 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.

 

Item 7. MATERIAL TO BE FILED AS EXHIBITS
1. Sale, Purchase and Assignment Agreement.
2. Amended and Restated Convertible Note.
3. New Convertible Note.
4. Amended and Restated Convertible Note Facility Agreement (incorporated by reference to Exhibit No. 10.1 to the March 2017 Form 8-K).
5. A&R Stockholder Rights Agreement (incorporated by reference to Exhibit No. 4.2 to the March 2017 Form 8-K).
6. Registration Rights Agreement (incorporated by reference to Exhibit No. 4.1 to the March 2017 Form 8-K).

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