4//SEC Filing
Warburg Pincus (E&P) Energy GP, L.P. 4
Accession 0000899243-23-017864
CIK 0000010254other
Filed
Aug 7, 8:00 PM ET
Accepted
Aug 8, 8:32 PM ET
Size
27.5 KB
Accession
0000899243-23-017864
Insider Transaction Report
Form 4
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
Warburg Pincus (E&P) XII, L.P.
10% Owner
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
WARBURG PINCUS (E&P) XI, L.P.
10% Owner
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
WARBURG PINCUS (E&P) XI LLC
10% Owner
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
WARBURG PINCUS PARTNERS (E&P) XI LLC
10% Owner
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
Warburg Pincus (E&P) Energy GP, L.P.
10% Owner
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
Warburg Pincus (E&P) XII LLC
10% Owner
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
Warburg Pincus (E&P) Energy LLC
10% Owner
Transactions
- Sale
Class A Common Stock, par value $0.001 per share
2023-08-01$14.52/sh−5,000,000$72,600,000→ 7,868,234 total(indirect: See footnotes)
Footnotes (11)
- [F1]On August 1, 2023, the Holders (as defined below) sold an aggregate of 5,000,000 shares of Class A Common Stock, par value $0.001, of the Issuer in a block trade. Giving effect to the transactions reported herein, and reflecting the forfeiture to the Issuer for no consideration of [15,143] shares that were held in escrow, the Holders (as defined below) ceased to be a "ten percent holder" of the Class A Common Stock.
- [F10]Each Holder and each of WPE E&P Partners B, WP E&P Energy GP, WPE E&P Energy LLC, WP XI E&P Partners B, WP XI E&P GP, WP XI E&P GP LLC, WPP E&P XI, WP XII E&P Partners 2, WP E&P XII, WP E&P XII LLC, WPP II US, WP & Co. US LLC and WP LLC (collectively, the "Parent Entities" and, together with the Holders, the "Reporting Entities") directly (whether through ownership or position) or indirectly through one or more intermediaries, previously may have been deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of some or all of the shares owned by the Holders and, therefore, a "ten percent holder" hereunder.
- [F11]Each Holder and each Parent Entity disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and, with respect to each of the Holders, except to the extent of its respective direct ownership reported herein, and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purposes.
- [F2]The shares are held of record by, or for the benefit of, Warburg Pincus Private Equity (E&P) XI - A, L.P. ("WP E&P XI A"), Warburg Pincus XI (E&P) Partners - A, L.P. ("WP XI E&P Partners A"), WP IRH Holdings, L.P. ("WP IRH Holdings"), Warburg Pincus XI (E&P) Partners-B IRH, LLC ("WP XI E&P Partners B IRH"), WP Energy IRH Holdings, L.P. ("WPE IRH Holdings"), WP Energy Partners IRH Holdings, L.P. ("WPE Partners IRH Holdings"), Warburg Pincus Energy (E&P) Partners-B IRH, LLC ("WPE E&P Partners B IRH"),
- [F3](cont. from footnote 2) Warburg Pincus Energy (E&P) Partners-A, L.P. ("WPE E&P Partners A"), Warburg Pincus Energy (E&P)-A, L.P. ("WPE E&P A"), WP Energy Chisholm Holdings, L.P. ("WPE Chisholm Holdings"), WP Energy Partners Chisholm Holdings, L.P. ("WPEP Chisholm Holdings"), Warburg Pincus Energy (E&P) Partners-B Chisholm, LLC ("WPE E&P Partners B Chisholm"),
- [F4](cont. from footnote 3) Warburg Pincus Private Equity (E&P) XII (A), L.P. ("WP PE E&P XII"), WP XII Chisholm Holdings, L.P. ("WP XII Chisholm Holdings"), Warburg Pincus XII (E&P) Partners-2 Chisholm, LLC ("WP XII E&P Partners 2 Chisholm"), Warburg Pincus Private Equity (E&P) XII-D (A), L.P. ("WP PE E&P XII D"),
- [F5](cont. from footnote 4) Warburg Pincus Private Equity (E&P) XII-E (A), L.P. ("WP PE E&P XII E"), WP XII (E&P) Partners (A), L.P. ("WP XII E&P Partners A") and Warburg Pincus XII (E&P) Partners-1, L.P. ("WP XII E&P Partners 1") (collectively, the "Holders").
- [F6]Warburg Pincus Energy (E&P) Partners-B, L.P. ("WPE E&P Partners B") is the managing member of WPE E&P Partners B Chisholm and the general partner of WPE E&P Partners B IRH. Warburg Pincus (E&P) Energy GP, L.P. ("WP E&P Energy GP") is the general partner of WPE E&P A, WPE E&P Partners A, WPE E&P Partners B, WPE IRH Holdings, WPE Partners IRH Holdings, WPE Chisholm Holdings and WPEP Chisholm Holdings. Warburg Pincus (E&P) Energy LLC ("WPE E&P Energy LLC") is the general partner of WP E&P Energy GP.
- [F7]Warburg Pincus XI (E&P) Partners - B, L.P. ("WP XI E&P Partners B") is the general partner of WP XI E&P Partners B IRH. Warburg Pincus (E&P) XI, L.P. ("WP XI E&P GP") is the general partner of WP E&P XI A, WP XI E&P Partners A, WP IRH Holdings, and WP XI E&P Partners B. Warburg Pincus (E&P) XI LLC ("WP XI E&P GP LLC") is the general partner of WP XI E&P GP. Warburg Pincus Partners (E&P) XI LLC ("WPP E&P XI") is the managing member of WP XI E&P GP LLC.
- [F8]Warburg Pincus XII (E&P) Partners-2, L.P. ("WP XII E&P Partners 2") is the managing member of WP XII E&P Partners 2 Chisholm. Warburg Pincus (E&P) XII, L.P. ("WP E&P XII") is the general partner of WP XII E&P Partners 2, WP PE E&P XII, WP XII Chisholm Holdings, WP PE E&P XII D, WP PE E&P XII E, WP XII E&P Partners A and WP XII E&P Partners 1. Warburg Pincus (E&P) XII LLC ("WP E&P XII LLC") is the general partner of WP E&P XII.
- [F9]Warburg Pincus Partners II (US), L.P. ("WPP II US") is the managing member of WPP E&P XI, WP E&P XII LLC and WPE E&P Energy LLC. Warburg Pincus & Company US, LLC ("WP & Co. US LLC") is the general partner of WPP II US. Warburg Pincus LLC ("WP LLC") is a registered investment adviser, and the manager of WP PE E&P XII, WP PE E&P XII D, WP PE E&P XII E, WP XII E&P Partners 1, WP XII E&P Partners A, WP E&P XI A, WP XI E&P Partners A, WP XI E&P Partners B, WPE E&P Partners A, WPE E&P Partners B and WPE E&P A.
Documents
Issuer
EARTHSTONE ENERGY INC
CIK 0000010254
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001774123
Filing Metadata
- Form type
- 4
- Filed
- Aug 7, 8:00 PM ET
- Accepted
- Aug 8, 8:32 PM ET
- Size
- 27.5 KB