0000899243-21-001388.txt : 20210111 0000899243-21-001388.hdr.sgml : 20210111 20210111182626 ACCESSION NUMBER: 0000899243-21-001388 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210107 FILED AS OF DATE: 20210111 DATE AS OF CHANGE: 20210111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EnCap Energy Capital Fund V L P CENTRAL INDEX KEY: 0001302312 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521905 BUSINESS ADDRESS: STREET 1: 1100 LOUISIANA ST STREET 2: SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-659-6100 MAIL ADDRESS: STREET 1: 1100 LOUISIANA ST STREET 2: SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EnCap V-B Acquisitions, L.P. CENTRAL INDEX KEY: 0001376869 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521906 BUSINESS ADDRESS: STREET 1: 1100 LOUISIANA STREET 2: SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7136596100 MAIL ADDRESS: STREET 1: 1100 LOUISIANA STREET 2: SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ENCAP ENERGY CAPITAL FUND VI L P CENTRAL INDEX KEY: 0001366397 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521907 BUSINESS ADDRESS: STREET 1: 1100 LOUISIANA ST SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-659-6100 MAIL ADDRESS: STREET 1: 1100 LOUISIANA ST SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EnCap VI-B Acquisitions, L.P. CENTRAL INDEX KEY: 0001494333 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521908 BUSINESS ADDRESS: STREET 1: 1100 LOUISIANA, SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-659-6100 MAIL ADDRESS: STREET 1: 1100 LOUISIANA, SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ENCAP ENERGY CAPITAL FUND VII LP CENTRAL INDEX KEY: 0001422885 STATE OF INCORPORATION: TX FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521909 BUSINESS ADDRESS: STREET 1: 1100 LOUISIANA STREET STREET 2: SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-659-6100 MAIL ADDRESS: STREET 1: 1100 LOUISIANA STREET STREET 2: SUITE 3150 CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bold Energy Holdings, LLC CENTRAL INDEX KEY: 0001707241 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521910 BUSINESS ADDRESS: STREET 1: 600 N. MARIENFELD ST. STREET 2: SUITE 1000 CITY: MIDLAND STATE: TX ZIP: 79701 BUSINESS PHONE: (713) 659-6100 MAIL ADDRESS: STREET 1: 600 N. MARIENFELD ST. STREET 2: SUITE 1000 CITY: MIDLAND STATE: TX ZIP: 79701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EnCap Energy Capital Fund IX, L.P. CENTRAL INDEX KEY: 0001565683 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521911 BUSINESS ADDRESS: STREET 1: 1100 LOUISIANA STREET, SUITE 4900 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-659-6100 MAIL ADDRESS: STREET 1: 1100 LOUISIANA STREET, SUITE 4900 CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EnCap Partners GP, LLC CENTRAL INDEX KEY: 0001726182 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 21521912 BUSINESS ADDRESS: STREET 1: 1100 LOUISIANA STREET STREET 2: SUITE 4900 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7136596100 MAIL ADDRESS: STREET 1: 1100 LOUISIANA STREET STREET 2: SUITE 4900 CITY: HOUSTON STATE: TX ZIP: 77002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EARTHSTONE ENERGY INC CENTRAL INDEX KEY: 0000010254 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 840592823 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1400 WOODLOCH FOREST DRIVE STREET 2: SUITE 300 CITY: THE WOODLANDS STATE: TX ZIP: 77380 BUSINESS PHONE: 281-298-4246 MAIL ADDRESS: STREET 1: 1400 WOODLOCH FOREST DRIVE STREET 2: SUITE 300 CITY: THE WOODLANDS STATE: TX ZIP: 77380 FORMER COMPANY: FORMER CONFORMED NAME: BASIC EARTH SCIENCE SYSTEMS INC DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-01-07 0 0000010254 EARTHSTONE ENERGY INC ESTE 0001302312 EnCap Energy Capital Fund V L P 1100 LOUISIANA STREET, SUITE 4900 HOUSTON TX 77002 0 0 1 0 0001376869 EnCap V-B Acquisitions, L.P. 1100 LOUISIANA STREET, SUITE 4900 HOUSTON TX 77002 0 0 1 0 0001366397 ENCAP ENERGY CAPITAL FUND VI L P 1100 LOUISIANA STREET, SUITE 4900 HOUSTON TX 77002 0 0 1 0 0001494333 EnCap VI-B Acquisitions, L.P. 1100 LOUISIANA STREET, SUITE 4900 BOSTON TX 77002 0 0 1 0 0001422885 ENCAP ENERGY CAPITAL FUND VII LP 1100 LOUISIANA STREET, SUITE 4900 HOUSTON TX 77002 0 0 1 0 0001707241 Bold Energy Holdings, LLC C/O ENCAP INVESTMENTS L.P. 1100 LOUISIANA STREET, SUITE 4900 HOUSTON TX 77002 0 0 1 0 0001565683 EnCap Energy Capital Fund IX, L.P. 1100 LOUISIANA STREET, SUITE 4900 HOUSTON TX 77002 0 0 1 0 0001726182 EnCap Partners GP, LLC 1100 LOUISIANA STREET, SUITE 4900 HOUSTON TX 77002 0 0 1 0 Class A Common Stock 2021-01-07 4 J 0 638744 3.99 D 4611808 I See footnote Class B Common Stock Class A Common Stock 33956524 I See footnote EnCap Partners GP, LLC ("EnCap Partners GP") is general partner of EnCap Partners, LP ("EnCap Partners"), which is managing member of EnCap Investments Holdings, LLC ("EnCap Holdings"), which is sole member of EnCap Investments GP, L.L.C. ("Investments GP"), which is general partner of EnCap Investments L.P. ("Investments LP"), which is general partner of EnCap Equity Fund V GP, L.P. ("Fund V GP"), EnCap Equity Fund VI GP, L.P. ("Fund VI GP"), EnCap Equity Fund VII GP, L.P. ("Fund VII GP") and EnCap Equity Fund IX GP, L.P. ("Fund IX GP"), which are general partner of EnCap Energy Capital Fund V, L.P. ("Fund V"), EnCap Energy Capital Fund VI, L.P. ("Fund VI"), EnCap Energy Capital Fund VII, L.P. ("Fund VII") and EnCap Energy Capital Fund IX, L.P. ("Fund IX"), respectively. Fund V GP is general partner of EnCap Energy Capital Fund V-B, L.P., which is sole member of EnCap V-B Acquisitions GP, LLC, which is general partner of EnCap V-B Acquisitions, L.P. ("Fund V-B"). (Continued from footnote 1): Fund VI GP is also general partner of EnCap Energy Capital Fund VI-B, L.P., which is sole member of EnCap VI-B Acquisitions GP, LLC, which is general partner of EnCap VI-B Acquisitions, L.P. ("Fund VI-B"). Fund IX directly owns 100% of the membership interests of Bolding Energy Holdings, LLC ("Bold"). Therefore, each EnCap Partners GP, EnCap Partners, EnCap Holdings, Investments GP, Investments LP, Fund V GP, Fund VI GP, Fund VII GP or Fund IX GP may be deemed to beneficially own or to have beneficially owned the reported securities that are or were held of record by any reporting persons under its direct or indirect control. Each reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is a beneficial owner of the reported securities for purposes of Section 16 or for any other purpose. These shares of Class A Common Stock were directly held by Fund V, Fund V-B, Fund VI and Fund VI-B (collectively, the "Seller Funds") and transferred to Independence Resources Holdings, LLC on January 7, 2021, upon closing of the transactions contemplated by that certain Securities Purchase Agreement, dated December 17, 2020 (the "Transactions"). These shares of Class A Common Stock are directly held by Fund VII. These shares of Class B Common Stock are directly held by Bold. Each share of Class B Common Stock represents the right to receive, at Bold's discretion, either one share of Class A Common Stock or its equivalent in cash, in exchange for one share of Class B Common Stock and one Unit of Earthstone Energy Holdings, LLC ("EEH"), in accordance with the terms and subject to the restrictions set forth in the First Amended and Restated Limited Liability Company Agreement of EEH. This form represents an exit Form 4 for each of the Seller Funds due to the Seller Funds no longer owning any voting stock of the issuer as a result of the Transactions. Exhibit List: Exhibit 99 - Joint Filer Information EnCap Energy Capital Fund V, L.P., By: EnCap Equity Fund V GP, L.P., its general partner, EnCap Investments L.P., its general partner, EnCap Investments GP, L.L.C., its general partner, /s/ Douglas E. Swanson, Jr., Managing Director 2021-01-11 EX-99 2 attachment1.htm EX-99 DOCUMENT

                                                                      Exhibit 99

Form 4 Joint Filer Information


 Name:                                      EnCap V-B Acquisitions, L.P.

 Address:                                   1100 LOUISIANA STREET, SUITE 4900
                                            HOUSTON, TX 77002

 Issuer & Ticket Symbol:                    Earthstone Energy, Inc. [ESTE]

 Date of Event Requiring Statement:         01/07/2021

 Relationship of Reporting Person to
Issuer:                                     10% Owner

Signature:                                  EnCap V-B Acquisitions, L.P.

                                            By: EnCap V-B Acquisitions GP, LLC,
                                            its general partner

                                            By: EnCap Energy Capital Fund V-B,
                                            L.P., its sole member

                                            By: EnCap Equity Fund V GP, L.P.,
                                            its general partner

                                            By: EnCap Investments L.P.,
                                            its general partner

                                            By: EnCap Investments GP, L.L.C.,
                                            its general partner

                                            By: /s/ Douglas E. Swanson, Jr.,
                                                ----------------------------
                                            Managing Director
                                            -----------------

                                            Date: 01/11/2021

Name:                                       EnCap Energy Capital Fund VI, L.P.

Address:                                    1100 LOUISIANA STREET, SUITE 4900
                                            HOUSTON, TX 77002

Issuer & Ticket Symbol:                     Earthstone Energy, Inc. [ESTE]

Date of Event Requiring Statement:          01/07/2021

Relationship of Reporting Person to
Issuer:                                     10% Owner


Signature:                                  EnCap Energy Capital Fund VI, L.P.

                                            By: EnCap Equity Fund VI GP, L.P.,
                                            its general partner

                                            By: EnCap Investments L.P.,
                                            its general partner

                                            By: EnCap Investments GP, L.L.C.,
                                            its general partner

                                            By: /s/ Douglas E. Swanson, Jr.,
                                                ----------------------------
                                            Managing Director
                                            -----------------

                                            Date: 01/11/2021

Name:                                       EnCap VI-B Acquisitions, L.P.

Address:                                    1100 LOUISIANA STREET, SUITE 4900
                                            HOUSTON, TX 77002

Issuer & Ticket Symbol:                     Earthstone Energy, Inc. [ESTE]

Date of Event Requiring Statement:          01/07/2021

Relationship of Reporting Person to
Issuer:                                     10% Owner


Signature:                                  EnCap VI-B Acquisitions, L.P.

                                            By: EnCap VI-B Acquisitions GP, LLC,
                                            its general partner

                                            By: EnCap Energy Capital Fund VI-B,
                                            L.P., its sole member

                                            By: EnCap Equity Fund VI GP, L.P.,
                                            its general partner

                                            By: EnCap Investments L.P.,
                                            its general partner

                                            By: EnCap Investments GP, L.L.C.,
                                            its general partner

                                            By: /s/ Douglas E. Swanson, Jr.,
                                                ----------------------------
                                            Managing Director
                                            -----------------

                                            Date: 01/11/2021

Name:                                       EnCap Energy Capital Fund VII, L.P.

Address:                                    1100 LOUISIANA STREET, SUITE 4900
                                            HOUSTON, TX 77002

Issuer & Ticket Symbol:                     Earthstone Energy, Inc. [ESTE]

Date of Event Requiring Statement:          01/07/2021

Relationship of Reporting Person to
Issuer:                                     10% Owner


Signature:                                  EnCap Energy Capital Fund VII, L.P.

                                            By: EnCap Equity Fund VII GP, L.P.,
                                            its general partner

                                            By: EnCap Investments L.P.,
                                            its general partner

                                            By: EnCap Investments GP, L.L.C.,
                                            its general partner

                                            By: /s/ Douglas E. Swanson, Jr.,
                                                ----------------------------
                                            Managing Director
                                            -----------------

                                            Date: 01/11/2021

Name:                                       Bold Energy Holdings, LLC

Address:                                    C/O ENCAP INVESTMENTS L.P.
                                            1100 LOUISIANA STREET, SUITE 4900
                                            HOUSTON, TX 77002

Issuer & Ticket Symbol:                     Earthstone Energy, Inc. [ESTE]

Date of Event Requiring Statement:          01/07/2021

Relationship of Reporting Person to
Issuer:                                     10% Owner

                                            Signature: Bold Energy Holdings, LLC

                                            By: EnCap Energy Capital Fund IX,
                                            L.P., its sole member

                                            By: EnCap Equity Fund IX GP, L.P.,
                                            its general partner

                                            By: EnCap Investments L.P.,
                                            its general partner

                                            By: EnCap Investments GP, L.L.C.,
                                            its general partner

                                            By: /s/ Douglas E. Swanson, Jr.,
                                                ----------------------------
                                            Managing Director
                                            -----------------

                                            Date: 01/11/2021

Name:                                       EnCap Energy Capital Fund IX, L.P.

Address:                                    1100 LOUISIANA STREET, SUITE 4900
                                            HOUSTON, TX 77002

Issuer & Ticket Symbol:                     Earthstone Energy, Inc. [ESTE]

Date of Event Requiring Statement:          01/07/2021

Relationship of Reporting Person to
Issuer:                                     10% Owner


                                            Signature: EnCap Energy Capital Fund
                                            IX, L.P.

                                            By: EnCap Equity Fund IX GP, L.P.,
                                            its general partner

                                            By: EnCap Investments L.P.,
                                            its general partner

                                            By: EnCap Investments GP, L.L.C.,
                                            its general partner

                                            By: /s/ Douglas E. Swanson, Jr.,
                                                ----------------------------
                                            Managing Director
                                            -----------------

                                            Date: 01/11/2021

Name:                                       EnCap Partners GP, LLC

Address:                                    1100 LOUISIANA STREET, SUITE 4900
                                            HOUSTON, TX 77002

Issuer & Ticket Symbol:                     Earthstone Energy, Inc. [ESTE]

Date of Event Requiring Statement:          01/07/2021

Relationship of Reporting Person to
Issuer:                                     10% Owner


Signature:                                  EnCap Partners GP, LLC

                                            By: /s/ Douglas E. Swanson, Jr.,
                                                ----------------------------
                                            Managing Director
                                            -----------------

                                            Date: 01/11/2021