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 24, 2014
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 organization) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
2930 W. Sam Houston Pkwy N., Suite 275, Houston, TX | 77043 | |
(Address of principal executive offices) | (Zip Code) |
281-531-7200 |
(Registrant’s telephone number, including area code) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
[ ] | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
[ ] | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
[ ] | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
[ ] | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 3.02 Unregistered Sales of Equity Securities
On July 24, 2014, Eco-Stim Energy Solutions, Inc. (the “Company”) sold 383,733 shares of its common stock to 17 accredited investors in a private placement, which was launched on January 27, 2014 and previously announced in the Company’s Current Report on Form 8-K filed on January 27, 2014, resulting in gross proceeds of $2,302,400. The Company paid Wunderlich Securities, Inc. a cash commission of $177,240 and an expense allowance in connection with due diligence and related activities of $6,763. The offering was exempt from registration under the Securities Act of 1933 (the “Act”) in reliance on exemptions provided by Section 4(2) and Regulations D and S of the Act.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
ECO-STIM ENERGY SOLUTIONS, INC. | ||
By: | /s/ Jon Christopher Boswell | |
Jon Christopher Boswell | ||
President and Chief Executive Officer | ||
Date: July 30, 2014 |
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