ESES / Eco-Stim Energy Solutions Inc. - SEC-arkiveringar, Årsredovisning, Fullmaktsutlåtande

ESES / Eco-Stim Energy Solutions Inc. 15-12B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-36909 Eco-Stim Energy Solutions, Inc. (Exact name of registrant as speci

Separation and Release Agreement, dated as of September 28, 2018, by and between the Company and J. Christopher Boswell

EX-10.16 8 ex10-16.htm SEPARATION AND GENERAL RELEASE AGREEMENT THIS SEPARATION AND GENERAL RELEASE AGREEMENT (the “Agreement”) is made as of this 28th day of September 2018, by ECO-STIM ENERGY SOLUTIONS, INC., a Nevada corporation (the “Company”), and J. CHRISTOPHER BOSWELL (the “Executive”). WHEREAS, the Executive serves as the President and Chief Executive Officer of the Company pursuant to tha

Form of Phantom Stock Award Grant Notice (Argentina Sale Based Vesting) under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan.

Proof - ex10-3.htm [Form of Award Agreement – Argentina Sale Based Vesting] ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN PHANTOM STOCK AWARD GRANT NOTICE Pursuant to the terms and conditions of the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), Eco-Stim Energy Solutions, Inc. (the “Company”) hereby grants to the individual listed

ESES / Eco-Stim Energy Solutions Inc. / Eco-stim Energy Solutions, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT (Pursuant to Section 13(e) of the Securities Exchange Act of 1934) ECO-STIM ENERGY SOLUTIONS, INC. (Name of the Issuer) Alexander Nickolatos Interim Chief Executive Officer (Name of Person(s) Filing Statement) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of

ECO-STIM ENERGY SOLUTIONS, INC. DISCLOSURE STATEMENT

EX-99.1 2 ex99-1.htm EXHIBIT 99.1 NEITHER THE SECURITIES AND EXCHANGE COMMISSION NOR ANY STATE SECURITIES COMMISSION HAS APPROVED OR DISAPPROVED THE TRANSACTION DESCRIBED HEREIN, PASSED UPON THE MERITS OR FAIRNESS OF THE PROPOSED TRANSACT ION OR PASSED UPON THE ADEQUACY OR ACCURACY OF THE DISCLOSURE IN THIS DOCUMENT. ANY REPRESENTATION TO THE CONTRARY IS UNLAWFUL AND A CRIMINAL OFFENSE. NO PERSON

Performance Award Agreement by and between Eco-Stim Energy Solutions, Inc. and Carlos A. Fernandez effective as of October 30, 2018

October 30, 2018 Mr. Carlos A. Fernandez Re: Performance Award Dear Carlos: This letter is to inform you that Eco-Stim Energy Solutions, Inc., a Nevada corporation (the “Company”), is providing you with the opportunity to earn a one-time cash performance award (the “Award”). This letter sets forth the amount of the Award and the terms and conditions upon which you will be eligible to receive the A

Form of Phantom Stock Award Grant Notice (Change of Control Based Vesting) under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan.

EX-10.8 3 ex10-8.htm [Form of Award Agreement – Change of Control Based Vesting] ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN PHANTOM STOCK AWARD GRANT NOTICE Pursuant to the terms and conditions of the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), Eco-Stim Energy Solutions, Inc. (the “Company”) hereby grants to the individual li

Performance Award Agreement by and between Eco-Stim Energy Solutions, Inc. and Alexander Nickolatos effective as of October 30, 2018

October 30, 2018 Mr. Alexander Nickolatos Re: Performance Award Dear Alexander: This letter is to inform you that Eco-Stim Energy Solutions, Inc., a Nevada corporation (the “Company”), is providing you with the opportunity to earn a one-time cash performance award (the “Award”). This letter sets forth the amount of the Award and the terms and conditions upon which you will be eligible to receive t

ESES / Eco-Stim Energy Solutions Inc. CORRESP - -

May 10, 2019 United States Securities and Exchange Commission Office of Mergers & Acquisitions 100 F Street, N.

ESES / Eco-Stim Energy Solutions Inc. 10-K Annual Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2018 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36909 ECO-STIM E

Form of Performance Share Unit Grant Notice under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan.

[Final Form] ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN PERFORMANCE SHARE UNIT GRANT NOTICE Pursuant to the terms and conditions of the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), Eco-Stim Energy Solutions, Inc. (the “Company”) hereby grants to the individual listed below (“you” or the “Participant”) the number of performance

ESES / Eco-Stim Energy Solutions Inc.

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number 3235-0058 Expires February 28, 2022 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER 001-36909 NOTIFICATION OF LATE FILING CUSIP NUMBER 27888D101 (Check One): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended:

ECO-STIM ENERGY SOLUTIONS, INC. DISCLOSURE STATEMENT

EXHIBIT 99.1 NEITHER THE SECURITIES AND EXCHANGE COMMISSION NOR ANY STATE SECURITIES COMMISSION HAS APPROVED OR DISAPPROVED THE TRANSACTION DESCRIBED HEREIN, PASSED UPON THE MERITS OR FAIRNESS OF THE PROPOSED TRANSACT ION OR PASSED UPON THE ADEQUACY OR ACCURACY OF THE DISCLOSURE IN THIS DOCUMENT. ANY REPRESENTATION TO THE CONTRARY IS UNLAWFUL AND A CRIMINAL OFFENSE. NO PERSON IS AUTHORIZED TO GIVE

ESES / Eco-Stim Energy Solutions Inc. / Eco-stim Energy Solutions, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT (Pursuant to Section 13(e) of the Securities Exchange Act of 1934) ECO-STIM ENERGY SOLUTIONS, INC. (Name of the Issuer) Alexander Nickolatos Interim Chief Executive Officer (Name of Person(s) Filing Statement) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities

Entry into a Material Definitive Agreement, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 18, 2019 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organiza

Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Completion of Acquisition or Disposition of Assets, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 21, 2019 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organ

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. POS AM

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. POS AM

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

ESES / Eco-Stim Energy Solutions Inc. S-8 POS

As filed with the Securities and Exchange Commission on February 26 , 2019 Registration No.

Certificate of Change (incorporated by reference to Exhibit 3.1 to our Current Report on Form 8-K filed on February 14, 2019).

EX-3.1 2 ex3-1.htm Exhibit 3.1

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 11, 2019 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorporation or organ

ESES / Eco-Stim Energy Solutions Inc. / Bienville Global Opportunities Fund, Lp Passive Investment

CUSIP No. 27888D101 SCHEDULE 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Stock, par

Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 24, 2019 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 26, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organ

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 21, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organ

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 4, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organi

Separation and Release Agreement, dated as of September 28, 2018, by and between the Company and J. Christopher Boswell

EX-10.4 5 ex10-4.htm SEPARATION AND GENERAL RELEASE AGREEMENT THIS SEPARATION AND GENERAL RELEASE AGREEMENT (the “Agreement”) is made as of this 28th day of September, 2018, by ECO-STIM ENERGY SOLUTIONS, INC., a Nevada corporation (the “Company”), and J. CHRISTOPHER BOSWELL (the “Executive”). WHEREAS, the Executive serves as the President and Chief Executive Officer of the Company pursuant to that

ESES / Eco-Stim Energy Solutions Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36909 ECO-STIM ENER

Form of Phantom Stock Award Grant Notice (Change of Control Based Vesting) under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan

[Form of Award Agreement – Change of Control Based Vesting] ECO-STIM ENERGY SOLUTIONS, INC.

Form of Performance Share Unit Grant Notice under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan

EX-10.1 2 ex10-1.htm [Final Form] ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN PERFORMANCE SHARE UNIT GRANT NOTICE Pursuant to the terms and conditions of the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), Eco-Stim Energy Solutions, Inc. (the “Company”) hereby grants to the individual listed below (“you” or the “Participant”) the

Form of Phantom Stock Award Grant Notice (Argentina Sale Based Vesting) under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan

Proof - ex10-3.htm [Form of Award Agreement – Argentina Sale Based Vesting] ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN PHANTOM STOCK AWARD GRANT NOTICE Pursuant to the terms and conditions of the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), Eco-Stim Energy Solutions, Inc. (the “Company”) hereby grants to the individual listed

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 30, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Emp

Termination of a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 19, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction (Commission (I.R.S. Employ

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 28, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of (Commission (I.R.S. E

Company slide presentation for Enercom’s “The Oil & Gas Conference” (August 2018)

EX-99.1 2 ex99-1.htm

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 21, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organiz

EcoStim Energy Solutions Reports Second Quarter 2018 Results

NEWS RELEASE Contact: [email protected] 281-531-7200 EcoStim Energy Solutions Reports Second Quarter 2018 Results HOUSTON, TEXAS, August 14, 2018 – Eco-Stim Energy Solutions, Inc. (NASDAQ: ESES) (“EcoStim” or the “Company”) announced its financial and operating results for the quarter ended June 30, 2018. Q2 2018 HIGHLIGHTS ● Revenues for Q2 2018 grew 114% over Q2 2017 to $18.2 mill

Regulation FD Disclosure, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 14, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organiz

ESES / Eco-Stim Energy Solutions Inc. 10-Q (Quarterly Report)

10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3690

Amendment to Letter Agreement between Eco-Stim Energy Solutions, Inc. and Brian R. Stewart (incorporated by reference to Exhibit 10.1 on the Company’s Form 10-Q filed on August 14, 2018).

EX-10.1 2 ex10-1.htm April 30, 2018 Brian R. Stewart c/o Eco-Stim Energy Solutions, Inc. 2930 W. Sam Houston Pkwy N. Suite 275 Houston, Texas 77043 Re: Amendment to Chairman Appointment Letter Dear Mr. Stewart: Reference is made to that certain letter agreement between you and Eco-Stim Energy Solutions, Inc., a Nevada corporation (the “Company”), dated January 2, 2018 (the “Letter Agreement”). Cap

Regulation FD Disclosure, Results of Operations and Financial Condition, Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 20, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employ

Eco-Stim Energy Solutions Announces Timing of Second Quarter 2018 Financial Results and Conference Call

EX-99.1 2 ex99-1.htm NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations [email protected] 281-531-7200 Eco-Stim Energy Solutions Announces Timing of Second Quarter 2018 Financial Results and Conference Call HOUSTON, TX, July 20, 2018 — Eco-Stim Energy Solutions, Inc. (NASDAQ: ESES) (“EcoStim” or the “Company”) announced today that the Company plans to issue its second quarte

Third Amendment to the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan.

Exhibit 4.1 THIRD AMENDMENT TO THE ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN THIS THIRD AMENDMENT (the “Third Amendment”) to the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), is made by Eco-Stim Energy Solutions, Inc. (the “Company”). W I T N E S S E T H: WHEREAS, the Company previously adopted the Plan, under which the Compan

ESES / Eco-Stim Energy Solutions Inc. S-8

S-8 1 forms-8.htm As filed with the Securities and Exchange Commission on June 26, 2018 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation or organizati

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 21, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorpor

Submission of Matters to a Vote of Security Holders

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 20, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorpor

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 8, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organizati

Negotiable Demand Promissory Note, dated June 8, 2018, issued by Eco-Stim Energy Solutions, Inc. to Eco-Lender, LLC.

Exhibit 10.1 EXECUTION VERSION NEGOTIABLE DEMAND PROMISSORY NOTE (Grid - - Secured) Principal Amount: $15,000,000 Dated: June 8, 2018 FOR VALUE RECEIVED, ECO-STIM ENERGY SOLUTIONS, INC., a Nevada corporation (“Borrower”), promises to pay to the order of ECO-LENDER, LLC, a Delaware limited liability company (“FT”), and its registered assigns in lawful money of the United States of America, the prin

ESES / Eco-Stim Energy Solutions Inc. DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive P

Company slide presentation for the Louisiana Energy Conference (May 2018).

EX-99.1 2 ex99-1.htm

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 29, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of (Commissi

ESES / Eco-Stim Energy Solutions Inc. PRE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive P

ESES / Eco-Stim Energy Solutions Inc. 10-K/A (Annual Report)

10-K/A 1 form10-ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 to Form 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition perio

EcoStim Energy Solutions Reports First Quarter 2018 Results

EX-99.1 2 ex99-1.htm NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations [email protected] 281-531-7200 EcoStim Energy Solutions Reports First Quarter 2018 Results HOUSTON, TEXAS – Eco-Stim Energy Solutions, Inc. (NASDAQ: ESES) (“EcoStim” or the “Company”) announced its financial and operating results for the quarter ended March 31, 2018. 2018 HIGHLIGHTS ● Revenues for Q1 201

Regulation FD Disclosure, Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 14, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organizati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 [ ] TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36909 ECO-STIM ENERGY S

Recourse Receivables Purchase & Security Agreement, dated as of February 8, 2018, by and between Eco-Stim Energy Solutions, Inc. and Porter Capital Corporation.

EX-10.2 2 ex10-2.htm Porter Capital Corporation RECOURSE RECEIVABLES PURCHASE & SECURITY AGREEMENT SELLER PURCHASER Name: Eco-Stim Energy Solutions, Inc. Name: Porter Capital Corporation By: /s/ Alexander Nickolatos [signature] By: /s/ Marc Porter [signature] Officer’s Name Printed: Alexander Nickolatos Officer’s Name Printed: Marc Porter Its: Chief Financial Officer Its: President Street Address:

Company slide presentation for IPAA’s OGIS New York conference to be held on April 9-10, 2018.

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 9, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorpor

ESES / Eco-Stim Energy Solutions Inc. / Bienville Global Opportunities Fund, Lp Passive Investment

CUSIP No. 27888D101 SCHEDULE 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO.)* ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Stock, par v

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 2, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organizat

Securities Purchase Agreement, dated as of March 29, 2018, by and among the Company, Fir Tree Capital Opportunity Master Fund, LP, Fir Tree Capital Opportunity Master Fund III, LP, FT SOF IV Holdings, LLC and FT SOF VII Holdings, LLC

EX-10.1 3 ex10-1.htm SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”), dated as of March 29, 2018, is by and among Eco-Stim Energy Solutions, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, the Company ha

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 29, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organiza

Certificate of Designation of Preferences, Rights and Limitations (incorporated by reference to Exhibit 3.1 of the Company’s Current Report on Form 8-K filed on April 2, 2018).

ECO-STIM ENERGY SOLUTIONS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK Pursuant to Section 78.1955 of the Nevada Revised Statutes (“NRS”), Eco-Stim Energy Solutions, Inc. (the “Corporation”), a Corporation organized and existing under the laws of the State of Nevada, hereby certifies that, pursuant to authority conferred on its Boa

ESES / Eco-Stim Energy Solutions Inc. / FIR TREE INC. - ECO-STIM ENERGY SOLUTIONS, INC. Activist Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 27888D101 (CUSIP Number) Brian Meyer Fir Tree Capital Management LP 55 West 46th Street, 29th Floor New York, NY 10036 (212) 599-0090 Eleazer Kle

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 23, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organiza

Company slide presentation for the Scotia Howard Weil 2018 Energy Conference.

EX-99.1 2 ex99-1.htm

Form of Nonstatutory Stock Option Agreement under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan

NONSTATUTORY STOCK OPTION AGREEMENT This Nonstatutory Stock Option Agreement (this “Agreement”) is made as of the day of , 2017 (the “Date of Grant”), between Eco-Stim Energy Solutions Inc.

Form of Phantom Stock Award Agreement under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan (Officers/Employees)

[Form of Grant Notice for Officers/Employees (Employment Agreement)] ECO-STIM ENERGY SOLUTIONS, INC.

Form of Phantom Stock Award Agreement under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan (Chairman)

[Form of Grant Notice for [Directors][Chairman] (Time-and-Performance Vesting)] ECO-STIM ENERGY SOLUTIONS, INC.

Letter Agreement dated as of January 2, 2018 between Eco-Stim Energy Solutions, Inc. and Brian R. Stewart

January 2, 2018 Brian R. Stewart c/o Eco-Stim Energy Solutions, Inc. 2930 W. Sam Houston Pkwy N. Suite 275 Houston, Texas 77043 Re: Appointment as Chairman of the Board of Directors of Eco-Stim Energy Solutions, Inc. Dear Mr. Stewart: This letter is to confirm your compensation arrangements in connection with your appointment as chairman (“Chairman”) of the board of directors (the “Board”) of Eco-

Form of Phantom Stock Award Agreement under the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan (Directors)

[Form of Grant Notice for Directors] ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN PHANTOM STOCK AWARD GRANT NOTICE Pursuant to the terms and conditions of the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), Eco-Stim Energy Solutions, Inc. (the “Company”) hereby grants to the individual listed below (“you” or the “Participant”) the

ESES / Eco-Stim Energy Solutions Inc. 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36909 ECO-STIM E

Regulation FD Disclosure, Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 9, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organizat

Eco-Stim Energy Solutions reports fourth quarter and full year 2017 results; Annual revenue increases 427% to $44 million from $8 million in 2016

EX-99.1 2 ex99-1.htm NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations [email protected] 281-531-7200 Eco-Stim Energy Solutions reports fourth quarter and full year 2017 results; Annual revenue increases 427% to $44 million from $8 million in 2016 HOUSTON, TEXAS – March 9, 2018 - Eco-Stim Energy Solutions, Inc. (NASDAQ: ESES) (“EcoStim” or the “Company”) announced its finan

Company slide presentation for Enercom’s February 2018 Oil and Gas Conference.

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 21, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of inco

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 8, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organi

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Fund 2.0, Lp Passive Investment

SC 13G/A 1 fp0031075sc13ga.htm CUSIP No. 27888D101 SCHEDULE 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* ECO-STIM ENERGY SOLUTIONS, INC. (Na

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 12, 2018 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organ

Company slide presentation for the 23rd Annual Credit Suisse Energy Summit.

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 4, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of incorporation or organi

###

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

Slides to be presented at the Cowen and Company 7th Annual Energy & Natural Resources Conference.

EcoStim Energy Solutions Reports Third Quarter 2017 Results

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

Results of Operations and Financial Condition, Financial Statements and Exhibits

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 10, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 36909 20-8203420 (State or other jurisdiction of inco

ESES / Eco-Stim Energy Solutions Inc. 10-Q (Quarterly Report)

10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001

POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G

Exhibit 24 POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G Know all by these presents, that the undersigned hereby constitutes and appoints Alexander Nickolatos and Christopher J.

POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G

Exhibit 24 POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G Know all by these presents, that the undersigned hereby constitutes and appoints Alexander Nickolatos and Christopher J.

POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G

Exhibit 24 POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G Know all by these presents, that the undersigned hereby constitutes and appoints Jon Christopher Boswell and Christopher J.

POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G

Exhibit 24 POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G Know all by these presents, that the undersigned hereby constitutes and appoints Alexander Nickolatos and Christopher J.

POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G

Exhibit 24 POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G Know all by these presents, that the undersigned hereby constitutes and appoints Alexander Nickolatos and Christopher J.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 13, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-36909 20-8203420 (State or other jurisdiction of (Commission (I.R.S.

POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G

Exhibit 24 POWER OF ATTORNEY FOR EXECUTING FORMS 3, 4 AND 5, FORM 144 AND SCHEDULES 13D AND 13G Know all by these presents, that the undersigned hereby constitutes and appoints Alexander Nickolatos and Christopher J.

ESES / Eco-Stim Energy Solutions Inc. ESP

Eco-Stim Energy Solutions, Inc. 2930 West Sam Houston Parkway N., Suite 275 Houston, TX 77043 September 26, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: H. Roger Schwall, Office of Natural Resources Re: Eco-Stim Energy Solutions, Inc. Registration Statement on Form S-3 Filed September 8, 2017 Fi

Eco-Stim Energy Solutions A

As submitted to the Securities and Exchange Commission on September 25, 2017 Registration No.

Eco-Stim Energy Solutions

S-3 1 forms-3.htm As submitted to the Securities and Exchange Commission on September 8, 2017 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation or orga

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Fund 2.0, Lp Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 SCHEDULE 13G TO AMEND THE SCHEDULE 13D FILED BY BIENVILLE ARGENTINA OPPORTUNITIES FUND 2.0, LP ON JANUARY 20, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) August 28,

Second Amendment to Amended and Restated Stockholder Rights Agreement, dated as of August 25, 2017, by and among the Company and the parties named therein (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on August 25, 2017).

SECOND AMENDMENT TO AMENDED AND RESTATED STOCKHOLDER RIGHTS AGREEMENT OF ECO-STIM ENERGY SOLUTIONS, INC.

Third Amendment to Second Amended and Restated Bylaws of the Company adopted as of August 25, 2017 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on August 25, 2017).

THIRD AMENDMENT TO SECOND AMENDED AND RESTATED BYLAWS OF ECO-STIM ENERGY SOLUTIONS, INC.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 25, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorporation or organiz

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 18, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorporation or organiz

Form of Indemnification Agreement between the Company and its directors and officers (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed on August 18, 2017).

EX-10.1 2 ex10-1.htm Exhibit 10.1 [AMENDED AND RESTATED] INDEMNIFICATION AGREEMENT This [Amended and Restated] Indemnification Agreement (“Agreement”) is made and entered into as of the day of , 2017, by and between Eco-Stim Energy Solutions, Inc., a Nevada corporation (the “Company”), and (“Indemnitee”). RECITALS A. Highly competent and experienced persons are reluctant to serve corporations as d

ESES / Eco-Stim Energy Solutions Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of regi

ESES / Eco-Stim Energy Solutions Inc. / GILDER GAGNON HOWE & CO LLC - SC 13G/A Passive Investment

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 Even

POWER OF ATTORNEY For Executing Forms 3, FORMS 4 and FORMS 5, Form 144 and Schedule 13D and 13G

POWER OF ATTORNEY For Executing Forms 3, FORMS 4 and FORMS 5, Form 144 and Schedule 13D and 13G The undersigned hereby constitutes and appoints Craig Murrin, Jon Christopher Boswell or Alexander Nickolatos or any of them acting without the others, with full power of substitution, as the undersigned?s true and lawful attorney-in-fact to: 1.

EcoStim Energy Solutions Reports Second Quarter 2017 Results

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorporation or organiz

ESES / Eco-Stim Energy Solutions Inc. / FIR TREE INC. - ECO-STIM ENERGY SOLUTIONS, INC. Activist Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 27888D101 (CUSIP Number) Brian Meyer Fir Tree Inc. 55 West 46th Street, 29th Floor New York, NY 10036 (212) 599-0090 Eleazer Klein, Esq. Schulte

Common Stock Subscription Agreement, dated as of August 2, 2017, by and among the Company and the Purchasers named therein, including Fir Tree (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on August 3, 2017).

COMMON STOCK SUBSCRIPTION AGREEMENT This Common Stock Subscription Agreement (this ?Agreement?), dated as of August 2, 2017, is by and among Eco-Stim Energy Solutions, Inc.

First Amendment to Amended and Restated Registration Rights Agreement entered into as of August 2, 2017, by and among the Company and the parties named therein, to be effective upon the Closing Date (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on August 3, 2017).

FIRST AMENDMENT TO AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT OF ECO-STIM ENERGY SOLUTIONS, INC.

Regulation FD Disclosure, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 2, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Emplo

Eco-Stim Energy Solutions Announces Private Placement

For Immediate Release NEWS RELEASE Contact: Alexander Nickolatos, Chief Financial Officer investorrelations@ecostim-es.

Second Amendment to the Second Amended and Restated Bylaws of the Company adopted as of August 2, 2017 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on August 3, 2017).

SECOND AMENDMENT TO SECOND AMENDED AND RESTATED BYLAWS OF ECO-STIM ENERGY SOLUTIONS, INC.

Registration Rights Agreement entered into as of August 2, 2017, by and among the Company and the Investors named therein, to be effective upon the Closing Date (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on August 3, 2017).

REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?), is entered into by and among ECO-STIM ENERGY SOLUTIONS, INC.

Eco-Stim Energy Solutions

As filed with the Securities and Exchange Commission on July 25, 2017 Registration No.

SECOND AMENDMENT TO THE ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN

SECOND AMENDMENT TO THE ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN THIS SECOND AMENDMENT (the ?Second Amendment?) to the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the ?Plan?), is made by Eco-Stim Energy Solutions, Inc. (the ?Company?). W I T N E S S E T H: WHEREAS, the Company previously adopted the Plan, under which the Company is auth

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 19, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorporation or organizat

Eco-Stim Energy Solutions Announces Management Transition

For Immediate Release NEWS RELEASE Contact: Jeff Freedman, Investor Relations investorrelations@ecostim-es.

Employment Agreement by and between Eco-Stim Energy Solutions, Inc. and Barry Ekstrand, effective as of April 5, 2017 (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on July 19, 2017)

EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (?Agreement?) is entered into and effective as of April 5, 2017 (the ?Effective Date?), by and between Eco-Stim Energy Solutions, Inc.

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Activist Investment

SC 13D/A 1 fp0026656sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Eco Stim Energy Solutions, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 27888D101 (CUSIP Number) Bienville Capital Managment, LLC 521 5th Avenue, 35th Floor New York, NY 10175 (Name, Address and Telepho

First Amendment to the Second Amended and Restated Bylaws of the Company adopted as of July 6, 2017 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on July 7, 2017).

FIRST AMENDMENT TO SECOND AMENDED AND RESTATED BYLAWS OF ECO-STIM ENERGY SOLUTIONS, INC.

Securities Purchase Agreement, dated as of July 6, 2017, by and among the Company and the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on July 7, 2017).

EX-10.1 3 ex10-1.htm Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”), dated as of July 6, 2017, is by and among Eco-Stim Energy Solutions, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS

First Amendment to Amended and Restated Stockholder Rights Agreement, dated as of July 6, 2017, by and among the Company and the parties named therein (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on July 7, 2017).

FIRST AMENDMENT TO AMENDED AND RESTATED STOCKHOLDER RIGHTS AGREEMENT OF ECO-STIM ENERGY SOLUTIONS, INC.

Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 6, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorpora

Amended & Restated Registration Rights Agreement, dated as of July 6, 2017, by and among the Company and the Purchasers named therein (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on July 7, 2017).

Execution Version AMENDED & RESTATED REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?), is dated as of July 6, 2017, by and among ECO-STIM ENERGY SOLUTIONS, INC.

Eco-Stim Energy Solutions Closes Private Placement of $15 Million of Common Stock

Eco-Stim Energy Solutions Closes Private Placement of $15 Million of Common Stock HOUSTON, TX and NEUQUEN CITY, ARGENTINA - 7/7/17 - Eco-Stim Energy Solutions, Inc.

ESES / Eco-Stim Energy Solutions Inc. / FIR TREE INC. Activist Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 27888D101 (CUSIP Number) Brian Meyer Fir Tree Inc. 55 West 46th Street, 29th Floor New York, NY 10036 (212) 599-0090 Eleazer Klein, Esq. Schulte

Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorpor

Employment Agreement by and between Eco-Stim Energy Solutions, Inc. and Carlos A. Fernandez, effective as of April 1, 2017 (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on June 21, 2017)

EX-10.2 2 ex10-2.htm EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (“Agreement”) is effective as of April 1, 2017 (the “Effective Date”), by and between Eco-Stim Energy Solutions, Inc., a Nevada corporation (“Eco-Stim” or “Company”), and Carlos A. Fernandez (“Executive”). Executive and the Company are collectively referred to in this Agreement as the “Parties” and individually as a “Party.” RECIT

Second Amendment to the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on June 21, 2017).

SECOND AMENDMENT TO THE ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN THIS SECOND AMENDMENT (the “Second Amendment”) to the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), is made by Eco-Stim Energy Solutions, Inc. (the “Company”). W I T N E S S E T H: WHEREAS, the Company previously adopted the Plan, under which the Company is auth

ESES / Eco-Stim Energy Solutions Inc. / FIR TREE INC. - ECO-STIM ENERGY SOLUTIONS, INC. Activist Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 27888D101 (CUSIP Number) Brian Meyer Fir Tree Inc. 55 West 46th Street, 29th Floor New York, NY 10036 (212) 599-0090 Eleazer Klein, Esq. Schulte

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employ

Eco-Stim Energy Solutions 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive P

Eco-Stim Energy Solutions 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive P

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 [ ] TRANSITION REPORT PURSUANT

10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC

EcoStim Energy Solutions Reports First Quarter 2017 Results

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2017 (May 4, 2017) ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I

Eco-Stim Energy Solutions 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (AMENDMENT NO. 1) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)

Employment Agreement by and between Eco-Stim Energy Solutions, Inc. and Alexander Nickolatos, effective as of April 1, 2017 (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on April 27, 2017)

EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (?Agreement?) is effective as of April 1, 2017 (the ?Effective Date?), by and between Eco-Stim Energy Solutions, Inc.

Employment Agreement by and between Eco-Stim Energy Solutions, Inc. and J. Christopher Boswell, effective as of April 1, 2017 (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on April 27, 2017)

EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (?Agreement?) is effective as of April 1, 2017 (the ?Effective Date?), by and between Eco-Stim Energy Solutions, Inc.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2017 (April 23, 2017) ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorpor

Eco-Stim Energy Solutions 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive P

Eco-Stim Energy Solutions Sets Record Date For Shareholder Meeting

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorporation or organiza

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Eco Stim Energy Solutions, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 27888D101 (CUSIP Number) Bienville Capital Managment, LLC 521 5th Avenue, 35th Floor New York, NY 10175 (Name, Address and Telephone Number of Person Authorized

ECO-STIM ENERGY SOLUTIONS, INC. CONVERTIBLE PROMISSORY NOTE

EXHIBIT 10.23 ECO-STIM ENERGY SOLUTIONS, INC. CONVERTIBLE PROMISSORY NOTE THIS CONVERTIBLE PROMISSORY NOTE AND THE EQUITY SECURITIES ISSUABLE UPON CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED FROM TIME TO TIME (THE ?SECURITIES ACT?), OR UNDER THE SECURITIES LAWS OF ANY STATE, AND MAY NOT BE OFFERED OR SOLD EXCEPT IN COMPLIANCE

ECO-STIM ENERGY SOLUTIONS, INC. AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE

EXHIBIT 10.24 ECO-STIM ENERGY SOLUTIONS, INC. AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE THIS AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE AND THE EQUITY SECURITIES ISSUABLE UPON CONVERSION OF THIS AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED FROM TIME TO TIME (THE ?SECURITIES ACT?), OR UNDER THE SECURITIES LAWS OF

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2016 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36273 ECO-STIM E

PURCHASE, SALE AND ASSIGNMENT AGREEMENT

Exhibit 1 Execution Version PURCHASE, SALE AND ASSIGNMENT AGREEMENT This Purchase, Sale and Assignment Agreement (this “Agreement”) is entered into as of March 3, 2017, by and among FT SOF VII Holdings, LLC (the “Buyer”), ACM Emerging Markets Master Fund I, L.

ESES / Eco-Stim Energy Solutions Inc. / FIR TREE INC. - FIR TREE INC. Activist Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 27888D101 (CUSIP Number) Brian Meyer Fir Tree Inc. 55 West 46th Street, 29th Floor New York, NY 10036 (212) 599-0090 Eleazer Klein, Esq. Schulte Rot

ECO-STIM ENERGY SOLUTIONS, INC. AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE

Exhibit 2 Execution Version ECO-STIM ENERGY SOLUTIONS, INC. AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE THIS AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE AND THE EQUITY SECURITIES ISSUABLE UPON CONVERSION OF THIS AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED FROM TIME TO TIME (THE “SECURITIES ACT”), OR UNDER THE SECU

ECO-STIM ENERGY SOLUTIONS, INC. CONVERTIBLE PROMISSORY NOTE

Exhibit 3 Execution Version ECO-STIM ENERGY SOLUTIONS, INC. CONVERTIBLE PROMISSORY NOTE THIS CONVERTIBLE PROMISSORY NOTE AND THE EQUITY SECURITIES ISSUABLE UPON CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED FROM TIME TO TIME (THE “SECURITIES ACT”), OR UNDER THE SECURITIES LAWS OF ANY STATE, AND MAY NOT BE OFFERED OR SOLD EXCEPT

ESES / Eco-Stim Energy Solutions Inc. / ACM Emerging Markets Master Fund I L P Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Shares, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) Nelson Oliveira Albright Capital Management, LLC 1101 New York Avenue, NW, Suite 900 Washington, D.C. 200

REGISTRATION RIGHTS AGREEMENT

EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”), is dated as of March 3, 2017, by and among ECO-STIM ENERGY SOLUTIONS, INC.

Amended and Restated Stockholder Rights Agreement, dated as of March 3, 2017, by and among Eco-Stim Energy Solutions, Inc. and the parties named therein (incorporated by reference to Exhibit 4.3 of the Company’s Quarterly Report on Form 10-Q, filed March 9, 2017).

EXECUTION VERSION AMENDED AND RESTATED STOCKHOLDER RIGHTS AGREEMENT Among ECO-STIM ENERGY SOLUTIONS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2017 ECO-STIM ENERGY SOL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2017 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employ

EcoStim Completes Recapitalization with Fir Tree Partners; Secures $17 million in New Funding Positioning the Company for Growth and a Debt Free Balance Sheet

NEWS RELEASE Contact: Alexander Nickolatos, Chief Financial Officer investorrelations@ecostim-es.

Second Amended and Restated Bylaws of the Company (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed March 9, 2017).

execution version SECOND AMENDED AND RESTATED BYLAWS Of ECO-STIM ENERGY SOLUTIONS, INC.

TABLE OF CONTENTS

Execution Version AMENDED AND RESTATED CONVERTIBLE NOTE FACILITY AGREEMENT DATED AS OF MARCH 3, 2017 BY AND BETWEEN ECO-STIM ENERGY SOLUTIONS, INC.

ESES / Eco-Stim Energy Solutions Inc. / GILDER GAGNON HOWE & CO LLC - SC 13G/A Passive Investment

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. 2)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 27888D101 (CUSIP Number) December 31, 2016 (Date of

ESES / Eco-Stim Energy Solutions Inc. / HAYMAN CAPITAL MANAGEMENT, L.P. Passive Investment

SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of incorporation or organ

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Em

EcoStim Energy Solutions Reports Third Quarter 2016 Results

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 [ ] TRANSITION REPORT PURS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Activist Investment

SC 13D/A 1 fp0021641sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Eco Stim Energy Solutions, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 27888D101 (CUSIP Number) Bienville Capital Managment, LLC 521 5th Avenue, 35th Floor New York, NY 10175 (Name, Address and Telepho

Eco-Stim Energy Solutions

S-8 1 forms8.htm As filed with the Securities and Exchange Commission on September 8, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation or organiz

FIRST AMENDMENT TO THE ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN

EX-4.1 2 ex4-1.htm Exhibit 4.1 FIRST AMENDMENT TO THE ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN THIS FIRST AMENDMENT (the “First Amendment”) to the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan, as amended from time to time (the “Plan”), is made by Eco-Stim Energy Solutions, Inc. (the “Company”). W I T N E S S E T H: WHEREAS, the Company previously adopted the Plan, und

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Eco Stim Energy Solutions, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 27888D101 (CUSIP Number) Bienville Capital Managment, LLC 405 Lexington Avenue 34TH FLOOR New York, NY 10174 (Name, Address and Telephone Number of Person Author

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Eco Stim Energy Solutions, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 27888D101 (CUSIP Number) Bienville Capital Managment, LLC 405 Lexington Avenue 34TH FLOOR New York, NY 10174 (Name, Address and Telephone Number of Person Author

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Empl

EcoStim Energy Solutions Reports Second Quarter 2016 Results

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC.

ECO-STIM ENERGY SOLUTIONS, INC. Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-211072 PROSPECTUS SUPPLEMENT To Prospectus Dated June 20, 2016 ECO-STIM ENERGY SOLUTIONS, INC. $5,801,796 Common Stock We have entered into an At Market Issuance Sales Agreement, dated July 13, 2016 (the ?Sales Agreement?), with FBR Capital Markets & Co. and MLV & Co. LLC (the ?Agents?), relating to the sale of shares of our common stock offere

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2016 (July 13, 2016) ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commissio

At Market Issuance Sales Agreement (incorporated by reference to our Current Report on Form 8-K filed on July 14, 2016).

Exhibit 1.1 ECO-STIM ENERGY SOLUTIONS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement July 13, 2016 FBR Capital Markets & Co. 300 North 17th Street Suite 1400 Arlington, Virginia 22209 MLV & Co. LLC 299 Park Avenue, 7th Floor New York, NY 10171 Ladies and Gentlemen: Eco-Stim Energy Solutions, Inc., a Nevada corporation (the ?Company?), confirms its agreement (thi

Eco-Stim Energy Solutions (Current Report/Significant Event)

FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 6, 2016 (June 30, 2016) ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (C

Eco-Stim Energy Solutions ESP

June 16, 2016 H. Roger Schwall United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Request for Acceleration of Effectiveness of Registration Statement on Form S-3 (File No. 333-211072) of Eco-Stim Energy Solutions, Inc. Ladies and Gentlemen: On behalf of Eco-Stim Energy Solutions, Inc. (the ?Registrant?), and pursuant

Eco-Stim Energy Solutions ESP

June 6, 2016 H. Roger Schwall Assistant Director United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Eco-Stim Energy Solutions, Inc. Registration Statement on Form S-3 Filed May 3, 2016 File No. 333-211072 Ladies and Gentlemen: Set forth below are the responses of Eco-Stim Energy Solutions, Inc. (the ?Company?, ?we,? ?

Eco-Stim Energy Solutions 14A

DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-

Eco-Stim Energy Solutions, Inc. Conference Call Script May 13, 2016

Exhibit 99.1 Eco-Stim Energy Solutions, Inc. Conference Call Script May 13, 2016 Thank you, Operator, and good morning, everyone. We appreciate you joining us for the ESES conference call today. We are excited to provide the investment community and our shareholders with this first quarter 2016 financial and operational results update. Before I turn the call over to Chris, I have a few housekeepin

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of reg

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employe

EcoStim Energy Solutions Reports First Quarter 2016 Results

EcoStim Energy Solutions Reports First Quarter 2016 Results HOUSTON, TEXAS & NEUQUEN CITY, ARGENTINA ? May 12, 2016 - Eco-Stim Energy Solutions, Inc.

FORM OF ECO-STIM ENERGY SOLUTIONS, INC. Common Stock (par value $0.001 per share)

Exhibit 1.2 FORM OF ECO-STIM ENERGY SOLUTIONS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement , 2016 FBR Capital Markets & Co. 300 North 17th Street Suite 1400 North Arlington, Virginia 22209 MLV & Co. LLC 299 Park Avenue, 7th Floor New York, NY 10171 Ladies and Gentlemen: Eco-Stim Energy Solutions, Inc., a Nevada corporation (the ?Company?), confirms its agreeme

Eco-Stim Energy Solutions

As submitted to the Securities and Exchange Commission on May 2, 2016 Registration No.

Eco-Stim Energy Solutions AM

As submitted to the Securities and Exchange Commission on April 25 , 2016 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2015 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36273 ECO-STIM E

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Eco Stim Energy Solutions, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 27888D101 (CUSIP Number) Bienville Capital Managment, LLC 405 Lexington Avenue 34TH FLOOR New York, NY 10174 (Name, Address and Telephone Number of Person Authori

POWER OF ATTORNEY FOR EXECUTING FORMS 3, FORMS 4 AND FORMS 5, FORM 144 AND SCHEDULE 13D AND 13G

POWER OF ATTORNEY FOR EXECUTING FORMS 3, FORMS 4 AND FORMS 5, FORM 144 AND SCHEDULE 13D AND 13G The undersigned hereby constitutes and appoints Craig Murrin, Alexander Nickolatos, and Chris Boswell or any of them acting without the others, with full power of substitution, as the undersigned?s true and lawful attorney-in-fact to: 1.

First Amendment to the Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan (incorporated by reference to our Current Report on Form 8-K filed on March 11, 2016).

FIRST AMENDMENT TO STOCK OPTION AGREEMENT This FIRST AMENDMENT TO STOCK OPTION AGREEMENT (this ?Amendment?) is entered into on and as of March 7, 2016 (the ?Amendment Date?) between Eco-Stim Energy Solutions, Inc.

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employ

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Emplo

EcoStim Energy Solutions Reports Fourth Quarter and Full Year 2015 Results; Strong Operational Performance Creates Opportunities for Future Growth

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

Eco-Stim Energy Solutions SC 13G/A (Passive Acquisition of More Than 5% of Shares)

SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Passive Investment

This text was added by using code. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 4)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securitie

Eco-Stim Energy Solutions SC 13G/A (Passive Acquisition of More Than 5% of Shares)

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. 1)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 27888D101 (CUSIP Number) December 31, 2015 (Date of

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 3)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) 07/09/2

Eco-Stim Energy Operational Update Confirmation #13627900

Eco-Stim Energy Operational Update January-15-2016 Confirmation #13627900 Page 1 EQUI Eco-Stim Energy Operational Update January-15-2016 Confirmation #13627900 Operator: Greetings, and welcome to the Eco-Stim Energy Solutions Operational Update Conference Call.

Results of Operations and Financial Condition, Financial Statements and Exhibits

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 15, 2016 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Comm

EX-99.2

FIRST AMENDMENT TO EMPLOYMENT AGREEMENT

Exhibit 10.1 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT This FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (this ?Amendment?) is entered into on and as of October 8, 2015 (the ?Amendment Date?), by Bobby Chapman (?Executive?) and EcoStim, Inc., a Texas corporation (the ?Company?), in order to amend the Employment Agreement by and between Executive and the Company (f/k/a FracRock, Inc.) dated as of November

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of

ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN I. PURPOSE OF THE PLAN

EX-4.1 2 ex4-1.htm Execution Version ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN I. PURPOSE OF THE PLAN The purpose of the ECO-STIM ENERGY SOLUTIONS, INC. 2015 STOCK INCENTIVE PLAN (as it may be amended, restated or otherwise modified from time to time, the “Plan”) is to provide a means through which ECO-STIM ENERGY SOLUTIONS, INC., a Nevada corporation (the “Company”), and its Affil

Eco-Stim Energy Solutions

S-8 1 forms-8.htm As filed with the Securities and Exchange Commission on September 23, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation or organ

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of regi

STATEMENT FILED PURSUANT TO RULE 13D-1(K)(1)(III) OF REGULATION 13D-G OF THE GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934

EXHIBIT A STATEMENT FILED PURSUANT TO RULE 13D-1(K)(1)(III) OF REGULATION 13D-G OF THE GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934 Pursuant to Rule 13d-1(k)(1)(iii) of Regulation 13D-G of the General Rules and Regulations under the Securities Exchange Act of 1934, as amended, the undersigned agree that the statement to which this Exhibit is attached is filed on behalf of each of them in the capacities set forth below.

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) 07/09/2

JOINT FILING AGREEMENT

EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment,

ESES / Eco-Stim Energy Solutions Inc. / Hayman Capital Management, L.P. - SCHEDULE 13G Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) July 10, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

EX-99.1

XHIBIT 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatem

STATEMENT FILED PURSUANT TO RULE 13D-1(K)(1)(III) OF REGULATION 13D-G OF THE GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934

EXHIBIT A STATEMENT FILED PURSUANT TO RULE 13D-1(K)(1)(III) OF REGULATION 13D-G OF THE GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934 Pursuant to Rule 13d-1(k)(1)(iii) of Regulation 13D-G of the General Rules and Regulations under the Securities Exchange Act of 1934, as amended, the undersigned agree that the statement to which this Exhibit is attached is filed on behalf of each of them in the capacities set forth below.

ESES / Eco-Stim Energy Solutions Inc. / Bienville Argentina Opportunities Master Fund, LP Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. )* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) 07/09/20

JOINT FILING AGREEMENT

EXHIBIT 99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned, being duly authorized thereunder, hereby execute this agreement as an exhibit to this Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule 13D/A jointly on behalf of each such party. July 16, 2015 /s/ Gregory

ESES / Eco-Stim Energy Solutions Inc. / ACM Emerging Markets Master Fund I L P Activist Investment

SC 13D/A 1 sc13d-a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 27888D101 (CUSIP Number) Nelson Oliveira Albright Capital Management LLC 1101 New York Avenue, NW, Suite 900 W

Eco-Stim Energy Solutions (Current Report/Significant Event)

FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2015 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S

ECO-STIM ENERGY SOLUTIONS, INC. 5,500,000 Shares of Common Stock UNDERWRITING AGREEMENT

EX-1.1 2 ex1-1.htm ECO-STIM ENERGY SOLUTIONS, INC. 5,500,000 Shares of Common Stock UNDERWRITING AGREEMENT July 9, 2015 FBR Capital Markets & Co. Roth Capital Partners, LLC As Representatives of the several Underwriters c/o FBR Capital Markets & Co. 1001 19th Street North Arlington, Virginia 22209 Attn: General Counsel c/o Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 A

5,500,000 Shares ECO-STIM ENERGY SOLUTIONS, INC. Common Stock

FORM 424B4 PROSPECTUS 5,500,000 Shares ECO-STIM ENERGY SOLUTIONS, INC. Common Stock We are offering 5,500,000 shares of our common stock, par value $0.001 per share. Our common stock is listed on the NASDAQ Capital Market under the symbol “ESES.” On July 8, 2015, the last reported market price of our shares of common stock was $5.62. Investing in our common stock involves a high degree of risk. Se

Eco-Stim Energy Solutions ESP

CORRESPONDENCE July 6, 2015 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-4628 Attention: H. Roger Schwall Division of Corporation Finance Re: Eco-Stim Energy Solutions, Inc. Registration Statement on Form S-1 (File No. 333-204591) Ladies and Gentlemen: As the representatives of the several underwriters of the Eco-Stim Energy Solu

Eco-Stim Energy Solutions ESP

CORRESP 1 filename1.htm Corporate Headquarters: Eco-Stim Energy Solutions, Inc. 2930 W. Sam Houston Pkwy N., Suite 275 Houston, Texas 77043 Main: (281) 531-7200 July 6, 2015 Via EDGAR H. Roger Schwall Assistant Director United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Eco-Stim Energy Solutions, Inc. Registration Sta

Eco-Stim Energy Solutions (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2015 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employ

Eco-Stim Energy Solutions ESP

CORRESPONDENCE Corporate Headquarters: Eco-Stim Energy Solutions, Inc. 2930 W. Sam Houston Pkwy N., Suite 275 Houston, Texas 77043 Main: (281) 531-7200 June 29, 2015 Via EDGAR H. Roger Schwall Assistant Director United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Eco-Stim Energy Solutions, Inc. Registration Statement o

Eco-Stim Energy Solutions ESP

June 25, 2015 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-4628 Attention: H. Roger Schwall Division of Corporation Finance Re: Eco-Stim Energy Solutions, Inc. Registration Statement on Form S-1 (File No. 333-204591) Ladies and Gentlemen: As the representatives of the several underwriters of the Eco-Stim Energy Solutions, Inc. (t

Eco-Stim Energy Solutions ESP

Corporate Headquarters: Eco-Stim Energy Solutions, Inc. 2930 W. Sam Houston Pkwy N., Suite 275 Houston, Texas 77043 Main: (281) 531-7200 June 25, 2015 Via EDGAR H. Roger Schwall Assistant Director United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Eco-Stim Energy Solutions, Inc. Registration Statement on Form S-1 (as

ECO-STIM ENERGY SOLUTIONS, INC. Shares of Common Stock UNDERWRITING AGREEMENT

ECO-STIM ENERGY SOLUTIONS, INC. Shares of Common Stock UNDERWRITING AGREEMENT [?], 2015 FBR Capital Markets & Co. Roth Capital Partners, LLC As Representatives of the several Underwriters c/o FBR Capital Markets & Co. 1001 19th Street North Arlington, Virginia 22209 Attn: [?] c/o Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 Attn: Managing Director Ladies and Gentlemen:

As filed with the Securities and Exchange Commission on June 15 , 2015

S-1/A 1 forms-1a.htm As filed with the Securities and Exchange Commission on June 15 , 2015 Registration No. 333- 204591 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 To FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction

JOINT FILING AGREEMENT

EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned, being duly authorized thereunder, hereby execute this agreement as an exhibit to this Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule 13D/A jointly on behalf of each such party. June 12, 2015 /s/ Nelson R. Oliveira D

ESES / Eco-Stim Energy Solutions Inc. / ACM Emerging Markets Master Fund I L P Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.

Eco-Stim Energy Solutions, Inc. 2015 Stock Incentive Plan (incorporated by reference to our Proxy Statement on Definitive Schedule 14A filed on June 2, 2015).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))

Eco-Stim Energy Solutions (Current Report/Significant Event)

FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2015 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S

As filed with the Securities and Exchange Commission on May 29, 2015

FORM S-1 As filed with the Securities and Exchange Commission on May 29, 2015 Registration No.

First Amendment to the Convertible Note Facility Agreement dated as of May 28, 2015 Eco-Stim Energy Solutions, Inc., as the Issuer, ACM Emerging Markets Master Fund I, L.P., as the Note Holder, First Amendment to Convertible Note Facility Agreement

EX-10.1 2 ex10-1.htm First Amendment to the Convertible Note Facility Agreement dated as of May 28, 2015 among Eco-Stim Energy Solutions, Inc., as the Issuer, ACM Emerging Markets Master Fund I, L.P., as the Note Holder, First Amendment to Convertible Note Facility Agreement This First Amendment to the Convertible Note Facility Agreement (this “First Amendment”), dated as of May 28, 2015 (the “Fir

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of reg

ESES / Eco-Stim Energy Solutions Inc. / ACM Emerging Markets Master Fund I L P Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.

JOINT FILING AGREEMENT

CUSIP No. 27888D101 13D/A EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned, being duly authorized thereunder, hereby execute this agreement as an exhibit to this Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule 13D/A jointly on behalf of each such party. April 13, 20

Eco-Stim Energy Solutions 2B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Eco-Stim Energy Solutions, Inc. (Exact name of registrant as specified in its charter) Nevada 20-8203420 (State of incorporation or organization) (IRS Employer Identification No.) 2930 W. Sam Hou

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2015 ECO-STIM ENERGY SOLUTIONS, INC. (Exact name of registrant as specified in its charter) Nevada 31104 20-8203420 (State or other jurisdiction of (Commission (I.R.S. Employ

Eco-Stim Energy Solutions Announces Approval for Listing on NASDAQ

NEWS RELEASE Contact: Jeffrey Freedman, Investor Relations investorrelations@ecostim-es.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2014 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36273 ECO-STIM E

ESES / Eco-Stim Energy Solutions Inc. / GILDER GAGNON HOWE & CO LLC - SCHEDULE 13G Passive Investment

SC 13G 1 v403990sc13g.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (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. )* Eco-Stim Energy Solutions, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 27888D101 (CUSIP