Amended Statement of Ownership (sc 13g/a)
August 11 2017 - 4:41PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
(RULE 13d - 102)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT TO 13d-1(b), (c) AND (d) AND
AMENDMENTS THERETO FILED PURSUANT TO 13d-2
(Amendment No. 3)
*
Eco-Stim Energy Solutions, Inc.
(Name of Issuer)
Common Stock, par value $0.001
(Title of Class of Securities)
27888D101
(CUSIP Number)
July 31, 2017
(Date of Event which Requires Filing of
this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
x
Rule
13d-1(b)
¨
Rule 13d-1(c)
¨
Rule 13d-1(d)
*The
remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior
cover page.
The
information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section
18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
(Page
1 of 6 Pages)
CUSIP
No.
27888D101
1
|
NAME OF REPORTING PERSON
Gilder, Gagnon, Howe & Co. LLC
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
¨
|
3
|
SEC USE ONLY
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
New York
|
NUMBER
OF
SHARES
BENEFI-
CIALLY
OWNED
BY
EACH
REPORT-
ING
PERSON
WITH
|
5
|
SOLE
VOTING POWER
7,727
|
6
|
SHARED
VOTING POWER
0
|
7
|
SOLE
DISPOSITIVE POWER
7,727
|
8
|
SHARED
DISPOSITIVE POWER
781,772
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
789,499
|
10
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.44%
|
12
|
TYPE
OF REPORTING PERSON
BD
|
|
ITEM 1(a).
|
Name
of Issuer:
|
Eco-Stim Energy Solutions, Inc.
|
Item 1(b).
|
Address
of Issuer's Principal Executive Offices:
|
2930 W Sam Houston Parkway N
Suite 275
Houston, TX 77043
|
Item 2(a).
|
Name
of Persons Filing:
|
Gilder,
Gagnon, Howe & Co. LLC
|
Item 2(b).
|
Address
of Principal Business Office or, if None, Residence:
|
475
10th Avenue
New
York, NY 10018
New
York
|
Item 2(d).
|
Title
of Class of Securities
|
Common
Stock
27888D101
|
ITEM
3.
|
IF
THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER
THE PERSON FILING IS A:
|
(a)
|
x
|
Broker or dealer registered under Section 15 of the Act (15
U.S.C. 78o).
|
|
|
|
(b)
|
¨
|
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C.
78c).
|
|
|
|
(c)
|
¨
|
Insurance company defined in Section 3(a)(19) of the Act
(15 U.S.C. 78c).
|
|
|
|
(d)
|
¨
|
Investment company registered under Section 8 of the Investment
Company Act of 1940 (15 U.S.C 80a–8).
|
|
|
|
(e)
|
¨
|
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).
|
|
|
|
(f)
|
¨
|
An employee benefit plan or endowment fund in accordance
with Rule 13d-1(b)(1)(ii)(F).
|
|
|
|
(g)
|
¨
|
A parent holding company or control person in accordance
with Rule 13d-1(b)(1)(ii)(G).
|
|
|
|
(h)
|
¨
|
A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813).
|
|
|
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(i)
|
¨
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A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a–3);
|
|
|
|
(j)
|
¨
|
A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J)
|
|
|
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(k)
|
¨
|
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
|
Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in
Item 1.
|
(a)
|
Amount beneficially
owned: 789,499
|
|
(b)
|
Percent of class:
1.44%
|
|
(c)
|
Number of shares
of Common Stock as to which such person has:
|
|
(i)
|
Sole
power to vote or direct the vote: 7,727
|
|
(ii)
|
Shared power to
vote or direct the vote: 0
|
|
(iii)
|
Sole power to
dispose or direct the disposition: 7,727
|
|
(iv)
|
Shared power to
dispose or direct the disposition: 781,772
|
The shares reported include 706,142 shares held
in customer accounts over which partners and/or employees of the Reporting Person have discretionary authority to dispose of or
direct the disposition of the shares, 7,727 shares held in the account of the profit sharing plan of the Reporting Person, and
75,630 shares held in accounts owned by the partners of the Reporting Person and their families.
|
Item 5.
|
Ownership
of Five Percent or Less of a Class.
|
If
this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial
owner of more than five percent of the class of securities, check the following
x
.
|
Item 6.
|
Ownership
of More than Five Percent on Behalf of Another Person.
|
Not
applicable.
|
Item 7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by
the Parent Holding Company.
|
Not
applicable.
|
Item 8.
|
Identification
and Classification of Members of the Group.
|
Not
applicable.
|
Item 9.
|
Notice
of Dissolution of Group.
|
Not
applicable.
By
signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired
and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of
changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with
or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination
under §240.14a–11.
SIGNATURES
After
reasonable inquiry and to the best of the undersigned’s knowledge and belief, the undersigned certifies that the information
set forth in this statement is true, complete and correct.
Dated:
August 11, 2017
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GILDER,
GAGNON, HOWE & CO. LLC
|
|
|
|
|
|
|
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By:
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/s/
Bonnie Haupt
|
|
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Name:
Bonnie Haupt
|
|
Title:
Chief Compliance Officer & Branch Manager
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