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Filing Details

Accession Number:: 0000899243-21-001566
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-01-12 20:14:10
Reporting Period:: 2021-01-07

Accepted Time:: 2021-01-12 20:14:10
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	Director	Officer	Large Shareholder	Other
1162870	Warburg Pincus Llc	450 Lexington Avenue New York NY 10017	No	No	Yes	No
1676974	Warburg Pincus Xi (E&P) Partners-B, L.p.	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1678774	Warburg Pincus (E&P) Xi, L.p.	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1678783	Warburg Pincus Partners (E&P) Xi Llc	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1678784	Warburg Pincus (E&P) Xi Llc	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1774130	Warburg Pincus Xi (E&P) Partners - A, L.p.	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1774131	Warburg Pincus Private Equity (E&P) Xi-A, L.p.	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1840108	Warburg Pincus Xi (E&P) Partners-B Irh, Llc	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1840237	Wp Irh Holdings, L.p.	C/O Warburg Pincus Llc 450 Lexington Avenue New York NY 10017	No	No	Yes	No

Reported Non-Derivative Transactions

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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	120,228	$0.00	13,238,110	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

Following the transactions reported herein, includes: 2,123,393 shares held of record by Warburg Pincus Private Equity (E&P) XI - A, L.P. ("WP E&P XI A"), 163,270 shares held of record by Warburg Pincus XI (E&P) Partners - A, L.P. ("WP XI E&P Partners A"), 2,068,675 shares held of record by WP IRH Holdings, L.P. ("WP IRH Holdings"), 57,365 shares held of record by Warburg Pincus XI (E&P) Partners-B IRH, LLC ("WP XI E&P Partners B IRH"), 3,179,794 shares held of record by WP Energy IRH Holdings, L.P. ("WPE IRH Holdings"), 260,350 shares held of record by WP Energy Partners IRH Holdings, L.P. ("WPE Partners IRH Holdings"), 101,492 shares held of record by Warburg Pincus Energy (E&P) Partners-B IRH, LLC ("WPE E&P Partners B IRH"), 300,946 shares held of record by Warburg Pincus Energy (E&P) Partners-A, L.P. ("WPE E&P Partners A") and 4,982,825 shares held of record by Warburg Pincus Energy (E&P)-A, L.P. ("WPE E&P A").
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.
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.
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.
Immediately following the acquisition of shares of Class A Common Stock reported herein, Independence Resources Holdings, 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.