UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (right to buy) | 03/02/2012 | 03/02/2015 | Common Stock | 2,198,000 (2) | $ 12.74 | I | By Global Energy Services Operating, LLC (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lime Rock Partners III, L.P. 274 RIVERSIDE AVENUE WESTPORT, CT 06880 |
 |  X |  |  |
Global Energy Services Operating, LLC 11616 NORTH GALAYDA STREET HOUSTON, TX 77086 |
 |  X |  |  |
/s/ J. Will Franklin, as Authorized Person for Lime Rock Partners III, L.P. | 08/07/2014 | |
**Signature of Reporting Person | Date | |
/s/ Paul DeWeese., for Global Energy Services Operating, LLC | 08/07/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Global Energy Services Operating, LLC directly owns common stock of the Issuer. GES Global Energy Services, Inc. directly owns 100% of the equity interests of Global Energy Services Operating, LLC. IDM Group, Ltd. directly owns 100% of the equity interests of GES Global Energy Services, Inc. and indirectly owns 100% of the equity interests of Global Energy Services Operating, LLC. Lime Rock Partners III, L.P. owns a majority of the equity interests in IDM Group, Ltd. This report shall not be deemed an admission that GES Global Energy Services, Inc., IDM Group, Ltd. or Lime Rock Partners III, L.P. is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purposes. |
(2) | Reflects warrants that are held directly by Global Energy Services Operating, LLC. |