Statement of Changes in Beneficial Ownership (4)
September 23 2016 - 1:35PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bienville Argentina Opportunities Master Fund, LP
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2. Issuer Name
and
Ticker or Trading Symbol
Eco-Stim Energy Solutions, Inc.
[
ESES
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O WALKERS CORP LTD, CAYMAN CORP CENTRE, 27 HOSPITAL ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/9/2015
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(Street)
GEORGE TOWN, E9 KY1-9008
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, Eco-Stim Energy Solutions, Inc.
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9/22/2016
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P
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50874
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A
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$2.2781
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2979534
(1)
(2)
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D
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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All of the reported shares are owned directly by Bienville Argentina Opportunities Master Fund, LP, whose general partner is BAOF GP, LLC ("General
Partner") and whose investment manager is Bienville Capital Management, LLC ("Investment Manager"). The General Partner and Investment Manager
could be deemed to be indirect beneficial owners of the above listed Common Stock of Eco-Stim Energy Solutions, Inc. ("the reported shares"). William
Herbert Stimpson II, Michael Cullen Thompson, Jr., and Ralph Fayden Reynolds (collectively, "Managers") are the managers and direct or indirect
controlling shareholders of the General Partner and the Investment Manager. As such, the Managers and Moonpie Management, LLC, the entity through which
one of the Managers holds his interest in the Investment Manager, could be deemed to share such indirect beneficial ownership of the reported shares with
the General Partner, the Investment Manager and Bienville Argentina Opportunities Master Fund, LP.
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(
2)
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The General Partner, the Investment Manager, the Managers, and Moonpie Management, LLC, disclaim beneficial ownership except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purposes. The General Partner, the Investment Manager, the Managers, and Moonpie Management, LLC, disclaim beneficial ownership except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purposes.
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(
3)
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The address of William H Stimpson, II is 35 Old Norwalk Road, New Canaan, CT 06840. The address of Ralph Fayden Reynolds is 104 Delafield Island Road, Darien, CT 06820. The address of M. Cullen Thompson Jr. is 124 31st Street Manhattan Beach, CA 90266. The address of Moonpie Management, LLC is 104 Delafield Island Road Darien, CT 06820.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bienville Argentina Opportunities Master Fund, LP
C/O WALKERS CORP LTD, CAYMAN CORP CENTRE
27 HOSPITAL ROAD
GEORGE TOWN, E9 KY1-9008
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X
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Bienville Capital Management, LLC
405 LEXINGTON AVENUE
34TH FLOOR
NEW YORK, NY 10174
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(1)(2)
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BAOF GP, LLC
C/O WALKERS CORP LTD, CAYMAN CORP CENTRE
27 HOSPITAL ROAD
GEORGE TOWN, E9 KY1-9008
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(1)(2)
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Signatures
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/s/ Donald Stoltz, III on behalf of Bienville Argentina Opportunities Master Fund, LP, by BAOF GP, LLC, its General Partner, by Donald Stoltz, III, Chief Operating Officer
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9/23/2016
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**
Signature of Reporting Person
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Date
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/s/ William H. Stimpson, II, Managing Member, on behalf of Bienville Capital Management, LLC
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9/23/2016
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**
Signature of Reporting Person
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Date
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/s/ Donald Stoltz, III on behalf of BAOF GP, LLC
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9/23/2016
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**
Signature of Reporting Person
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Date
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/s/ Ralph Fayden Reynolds, Managing Member, on behalf of Moonpie Management, LLC, as controlling shareholder of the Investment Manager and General Partner
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9/23/2016
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**
Signature of Reporting Person
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Date
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/s/ William H. Stimpson, II, controlling shareholder of the Investment Manager and General Partner
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9/23/2016
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**
Signature of Reporting Person
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Date
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/s/ M. Cullen Thompson, Jr., controlling shareholder of the Investment Manager and General Partner
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9/23/2016
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**
Signature of Reporting Person
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Date
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/s/ Ralph Fayden Reynolds, controlling shareholder of the Investment Manager and General Partner
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9/23/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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