Filing Details

Accession Number:
0000899243-21-001428
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-01-11 21:42:56
Reporting Period:
2021-01-07
Accepted Time:
2021-01-11 21:42:56
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
10254 Earthstone Energy Inc ESTE Crude Petroleum & Natural Gas (1311) 840592823
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1628532 Independence Resources Holdings, Llc 11450 Compaq Center Drive W,
Building 10, Suite 470
Houston TX 77070
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2021-01-07 638,744 $3.99 13,358,338 No 4 P Indirect See footnotes
Class A Common Stock Disposition 2021-01-07 13,358,338 $0.00 0 No 4 J Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnotes
No 4 J Indirect See footnotes
Footnotes
  1. The shares reported herein are held of record by Independence Resources Holdings, LLC ("IRH LLC"). 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"), Warburg Pincus Energy (E&P) Partners-A, L.P. ("WPE E&P Partners A") and Warburg Pincus Energy (E&P)-A, L.P. ("WPE E&P A") collectively hold a majority of the membership interests in IRH LLC.
  2. 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.
  3. Warburg Pincus Energy (E&P) Partners-B, L.P. ("WPE E&P Partners B") is the general partner of WPE E&P Partners B IRH. Warburg Pincus (E&P) Energy GP, L.P. ("WPE E&P GP") is the general partner of WPE IRH Holdings, WPE Partners IRH Holdings, WPE E&P Partners B, WPE E&P Partners A, and WPE E&P A. Warburg Pincus (E&P) Energy LLC ("WPE E&P GP LLC") is the general partner of WPE E&P GP.
  4. Warburg Pincus Partners II (US), L.P. ("WPP II US") is the managing member of WPP E&P XI and WPE E&P GP 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 E&P XI A, WP XI E&P Partners A, WPE E&P Partners A, and WPE E&P A.
  5. Immediately following the acquisition of shares of Class A Common Stock reported herein, IRH LLC disposed of all of its shares of Class A Common Stock in a pro-rata distribution in-kind to its members for no consideration.