Filing Details

Accession Number:
0000899243-23-017867
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-08-08 20:36:03
Reporting Period:
2023-08-01
Accepted Time:
2023-08-08 20:36:03
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
1162870 Warburg Pincus Llc C/O Warburg Pincus Llc
450 Lexington Avenue
New York NY 10017
No No Yes No
1635320 Warburg Pincus & Co Us, Llc C/O Warburg Pincus Llc
450 Lexington Avenue
New York NY 10017
No No Yes No
1658788 Warburg Pincus Partners Ii (Us), L.p. C/O Warburg Pincus Llc
450 Lexington Avenue
New York NY 10017
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, Par Value $0.001 Per Share Disposition 2023-08-01 5,000,000 $14.52 7,868,234 No 4 S Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnotes
Footnotes
  1. 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.
  2. 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"),
  3. (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"),
  4. (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"),
  5. (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").
  6. 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.
  7. 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.
  8. 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.
  9. 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.
  10. 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.
  11. 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.