0001140361-17-004163.txt : 20170202 0001140361-17-004163.hdr.sgml : 20170202 20170202160610 ACCESSION NUMBER: 0001140361-17-004163 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161206 FILED AS OF DATE: 20170202 DATE AS OF CHANGE: 20170202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Eco-Stim Energy Solutions, Inc. CENTRAL INDEX KEY: 0001135657 STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389] IRS NUMBER: 208203420 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2930 W SAM HOUSTON PARKWAY N STREET 2: SUITE 275 CITY: HOUSTON STATE: TX ZIP: 77041 BUSINESS PHONE: (408) 873-0400 MAIL ADDRESS: STREET 1: 2930 W SAM HOUSTON PARKWAY N STREET 2: SUITE 275 CITY: HOUSTON STATE: TX ZIP: 77041 FORMER COMPANY: FORMER CONFORMED NAME: VISION GLOBAL SOLUTIONS INC DATE OF NAME CHANGE: 20010228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAYMAN CAPITAL MANAGEMENT, L.P. CENTRAL INDEX KEY: 0001420192 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36909 FILM NUMBER: 17568311 BUSINESS ADDRESS: STREET 1: 2101 CEDAR SPRINGS ROAD STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-347-8050 MAIL ADDRESS: STREET 1: 2101 CEDAR SPRINGS ROAD STREET 2: SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: Hayman Advisors LP DATE OF NAME CHANGE: 20071204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hayman Investments LLC CENTRAL INDEX KEY: 0001420196 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36909 FILM NUMBER: 17568312 BUSINESS ADDRESS: STREET 1: 2626 COLE AVENUE STREET 2: SUITE 200 CITY: DALLAS STATE: TX ZIP: 75204 BUSINESS PHONE: 214-347-8050 MAIL ADDRESS: STREET 1: 2626 COLE AVENUE STREET 2: SUITE 200 CITY: DALLAS STATE: TX ZIP: 75204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bass J Kyle CENTRAL INDEX KEY: 0001420193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36909 FILM NUMBER: 17568313 MAIL ADDRESS: STREET 1: 2626 COLE AVENUE STREET 2: SUITE 200 CITY: DALLAS STATE: TX ZIP: 75204 4 1 doc1.xml FORM 4 X0306 4 2016-12-06 1 0001135657 Eco-Stim Energy Solutions, Inc. ESES 0001420193 Bass J Kyle C/O HAYMAN INVESTMENTS, L.L.C. 2101 CEDAR SPRINGS ROAD, SUITE 1400 DALLAS TX 75201 0 0 1 0 0001420196 Hayman Investments LLC 2101 CEDAR SPRINGS ROAD, SUITE 1400 DALLAS TX 75201 0 0 1 0 0001420192 HAYMAN CAPITAL MANAGEMENT, L.P. 2101 CEDAR SPRINGS ROAD, SUITE 1400 DALLAS TX 75201 0 0 1 1 Former Dir.; Former 10% Owner Common Stock, par value $0.001 2016-12-06 4 S 0 102513 2.0019 D 2027487 I See Footnotes Common Stock, par value $0.001 2016-12-28 4 S 0 75854 1.1219 D 1951633 I See Footnotes Common Stock, par value $0.001 2016-12-29 4 S 0 29165 1.0510 D 1922468 I See Footnotes Common Stock, par value $0.001 2016-12-30 4 S 0 12939 1.0052 D 1909529 I See Footnotes Common Stock, par value $0.001 2017-01-03 4 S 0 3295 0.9571 D 1906234 I See Footnotes Common Stock, par value $0.001 2017-01-04 4 S 0 15747 1.0197 D 1890487 I See Footnotes Common Stock, par value $0.001 2017-01-05 4 S 0 50000 0.9150 D 1840487 I See Footnotes Common Stock, par value $0.001 2017-01-10 4 S 0 52024 0.7590 D 1788463 I See Footnotes Common Stock, par value $0.001 2017-01-11 4 S 0 68851 0.7927 D 1719612 I See Footnotes Common Stock, par value $0.001 2017-01-12 4 S 0 41318 0.7501 D 1678294 I See Footnotes Common Stock, par value $0.001 2017-01-18 4 S 0 4400 0.7880 D 1673894 I See Footnotes Common Stock, par value $0.001 2017-01-19 4 S 0 4592 0.8048 D 1669302 I See Footnotes Common Stock, par value $0.001 2017-01-20 4 S 0 128191 0.8194 D 1541111 I See Footnotes Common Stock, par value $0.001 2017-01-25 4 S 0 10433 0.8117 D 1530678 I See Footnotes Common Stock, par value $0.001 2017-01-27 4 S 0 1530678 1.2055 D 0 I See Footnotes The securities reported in this Form 4 were held of record by Hayman Capital Master Fund, L.P. ("HCMF"), which is managed by Hayman Capital Management, L.P. ("Hayman"). J Kyle Bass is the managing member of Hayman Investments LLC ("HI"), which is the general partner of Hayman. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), Hayman, HI and Mr. Bass may be deemed to have shared voting and dispositive powers with respect to the securities beneficially owned by HCMF. Hayman, HI and Bass disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed an admission that Hayman, HI or Mr. Bass was the beneficial owner of such securities for purposes of Section 16 of the Act and the rules promulgated thereunder or for any other purpose. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $1.9500 to $2.0989 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $1.0500 to $1.2992 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $1.0200 to $1.1785 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.9300 to $1.0400 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.9900 to $1.0300 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.9900 to $1.0300 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.9150 to $0.9150 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.7500 to $0.7835 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.7500 to $0.8285 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.7014 to $0.8000 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.7840 to $0.7935 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.8000 to $0.8100 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.7800 to $0.8400 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $0.7500 to $0.8380 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Represents the weighted average purchase price of shares purchased in a series of open market transactions on the transaction date at prices ranging from $1.0400 to $1.7900 per share. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. List of Exhibits: Exhibit 99.1 -- Joint Filing Agreement, incorporated by reference to Exhibit 99.1 to the Form 4 filed by the undersigned on July 24, 2015. /s/ J Kyle Bass 2017-02-02