0000899243-22-029401.txt : 20220819
0000899243-22-029401.hdr.sgml : 20220819
20220819210019
ACCESSION NUMBER: 0000899243-22-029401
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220817
FILED AS OF DATE: 20220819
DATE AS OF CHANGE: 20220819
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WARBURG PINCUS LLC
CENTRAL INDEX KEY: 0001162870
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35049
FILM NUMBER: 221181988
BUSINESS ADDRESS:
STREET 1: 450 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-878-0600
MAIL ADDRESS:
STREET 1: 450 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Warburg Pincus Partners II (US), L.P.
CENTRAL INDEX KEY: 0001658788
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35049
FILM NUMBER: 221181990
BUSINESS ADDRESS:
STREET 1: 450 LEXINGTON AVENUE
STREET 2: C/O WARBURG PINCUS LLC
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 2128780600
MAIL ADDRESS:
STREET 1: 450 LEXINGTON AVENUE
STREET 2: C/O WARBURG PINCUS LLC
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Warburg Pincus & Co US, LLC
CENTRAL INDEX KEY: 0001635320
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35049
FILM NUMBER: 221181989
BUSINESS ADDRESS:
STREET 1: C/O WARBURG PINCUS LLC
STREET 2: 450 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212 878 0600
MAIL ADDRESS:
STREET 1: C/O WARBURG PINCUS LLC
STREET 2: 450 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
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
2022-08-17
0
0000010254
EARTHSTONE ENERGY INC
ESTE
0001658788
Warburg Pincus Partners II (US), L.P.
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE
NEW YORK
NY
10017
0
0
1
0
0001635320
Warburg Pincus & Co US, LLC
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE
NEW YORK
NY
10017
0
0
1
0
0001162870
WARBURG PINCUS LLC
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE
NEW YORK
NY
10017
1
0
1
0
Class A Common Stock, par value $0.001 per share
2022-08-17
4
S
0
6700000
D
19689956
I
See footnotes
On August 17, 2022, the Holders (as defined below) sold an aggregate of 6,700,000 shares of Class A Common Stock, par value $0.001, of the Issuer in a block trade.
Following the transaction reported herein, the shares include 1,584,296 shares held of record by, or for the benefit of, Warburg Pincus Private Equity (E&P) XI - A, L.P. ("WP E&P XI A"), 121,818 shares held of record by, or for the benefit of, Warburg Pincus XI (E&P) Partners - A, L.P. ("WP XI E&P Partners A"), 1,543,471 shares held of record by, or for the benefit of, WP IRH Holdings, L.P. ("WP IRH Holdings"), 42,801 shares held of record by, or for the benefit of, Warburg Pincus XI (E&P) Partners-B IRH, LLC ("WP XI E&P Partners B IRH"), 2,372,494 shares held of record by, or for the benefit of, WP Energy IRH Holdings, L.P. ("WPE IRH Holdings"), 194,251 shares held of record by, or for the benefit of, WP Energy Partners IRH Holdings, L.P. ("WPE Partners IRH Holdings") and 75,725 shares held of record by, or for the benefit of, Warburg Pincus Energy (E&P) Partners-B IRH, LLC ("WPE E&P Partners B IRH"),
(cont. from footnote 2) 391,849 shares held of record by, or for the benefit of, Warburg Pincus Energy (E&P) Partners-A, L.P. ("WPE E&P Partners A"), 6,487,916 shares held of record by, or for the benefit of, Warburg Pincus Energy (E&P)-A, L.P. ("WPE E&P A"), 1,767,775 shares held of record by, or for the benefit of, WP Energy Chisholm Holdings, L.P. ("WPE Chisholm Holdings"), 144,739 shares held of record by, or for the benefit of, WP Energy Partners Chisholm Holdings, L.P. ("WPEP Chisholm Holdings"), 56,424 shares held of record by, or for the benefit of, Warburg Pincus Energy (E&P) Partners-B Chisholm, LLC ("WPE E&P Partners B Chisholm"),
(cont. from footnote 3) 1,793,043 shares held of record by, or for the benefit of, Warburg Pincus Private Equity (E&P) XII (A), L.P. ("WP PE E&P XII"), 2,558,148 shares held of record by, or for the benefit of, WP XII Chisholm Holdings, L.P. ("WP XII Chisholm Holdings"), 28,064 shares held of record by, or for the benefit of, Warburg Pincus XII (E&P) Partners-2 Chisholm, LLC ("WP XII E&P Partners 2 Chisholm"), 43,029 shares held of record by, or for the benefit of, Warburg Pincus Private Equity (E&P) XII-D (A), L.P. ("WP PE E&P XII D"),
(cont. from footnote 4) 65,107 shares held of record by, or for the benefit of, Warburg Pincus Private Equity (E&P) XII-E (A), L.P. ("WP PE E&P XII E"), 117,263 shares held of record by, or for the benefit of, WP XII (E&P) Partners (A), L.P. ("WP XII E&P Partners A") and 301,743 shares held of record by, or for the benefit of, Warburg Pincus XII (E&P) Partners-1, L.P. ("WP XII E&P Partners 1") (collectively, the "Holders").
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.
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 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.
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.
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, may be 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.
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.
Due to the limitations of the electronic filing system, certain Reporting Entities are filing a separate Form 4.
Warburg Pincus Partners II (US), L.P., By: Warburg Pincus & Company US, LLC, By: /s/ Robert B. Knauss, Authorized Signatory
2022-08-19
Warburg Pincus & Company US, LLC, By: /s/ Robert B. Knauss, Authorized Signatory
2022-08-19
Warburg Pincus LLC, By: /s/ Robert B. Knauss, Authorized Signatory
2022-08-19