Home > Insider Trading > Filing (0001493152-15-001383)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1135657	Eco-Stim Energy Solutions Inc.	ESES	Oil & Gas Field Services, Nec (1389)	208203420

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1385343	P L I Fund Master Markets Emerging Acm	C/O Albright Capital Management Llc 1101 New York Avenue, Nw Washington DC 20005		No	No	Yes	No
1621889	Albright Capital Management Llc	1101 New York Avenue, Nw Washington DC 20005		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-02-19	173,911	$5.75	1,507,244	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Convertible Notes	Acquisiton	2014-10-28	0	$0.00	1,689,351	$6.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2014-10-28	2018-05-28	No	4	J	Direct

Footnotes

ACM Emerging Markets Master Funds I, L.P. (the "Fund") purchased 173,911 shares (the "Securities") at a price of $5.75 per share on February 19, 2015 in an underwritten public offering by Eco-Stim Energy Solutions, Inc. (the "Issuer").
The Issuer previously issued to the Fund a multiple draw secured promissory note (the "Convertible Note") with a maximum aggregate principal amount of $22,000,000, convertible into Common Stock at a price of $6 per share. On October 28, 2014, the Issuer drew $10,136,115, the remainder of the Convertible Note, convertible into 1,689,351 shares of Common Stock at the option of the Fund, for a total balance of $22,000,000, such total balance convertible into 3,666,666 shares of Common Stock at the option of the Fund.
Albright Capital Management LLC (the "GP"), as general partner of the Fund, may be deemed to beneficially own the securities reported herein to the extent of its direct or indirect interest in the Fund. Pursuant to Rule 16a-1(a)(4) under the Securities Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the GP is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities in excess of its pecuniary interests, if any.