13D Filing: Fir Tree and Eco-Stim Energy Solutions Inc. (ESES)

(b)

See rows (7) through (10) of the cover pages to this Schedule 13D for the number of shares of Common Stock as to which each Reporting Person has the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition (see also the Proxy Right described in Item 4 of the Schedule 13D).

(c)

Except as set forth in this Amendment No. 3, there have been no transactions in the Common Stock effected by the Reporting Person since the filing of Amendment No. 2.

(d)

No person other than the Reporting Person and the Fir Tree Funds is known to have the right to receive, or the power to direct the receipt of dividends from, or proceeds from the sale of, the shares of Common Stock held by the Fir Tree Funds.

(e)

Not applicable.

Item 7.	MATERIAL TO BE FILED AS EXHIBITS

	Item 7 of the Schedule 13D is hereby amended and supplemented by the addition of the following:

10.	Subscription Agreement (incorporated by reference to Exhibit No. 10.1 to the August 2017 Form 8-K).

11.	PIPE Registration Rights Agreement (incorporated by reference to Exhibit No. 10.2 to the August 2017 Form 8-K).

12.	First Amendment to A&R Registration Rights Agreement (incorporated by reference to Exhibit No. 10.3 to the August 2017 Form 8-K).

13D Filing: Fir Tree and Eco-Stim Energy Solutions Inc. (ESES)

Published on August 8, 2017 at 1:59 pm by Insider Monkey Staff in Hedge Funds

Page 5 of 6 – SEC Filing

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