0000899243-23-017864.txt : 20230808 0000899243-23-017864.hdr.sgml : 20230808 20230808203253 ACCESSION NUMBER: 0000899243-23-017864 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230801 FILED AS OF DATE: 20230808 DATE AS OF CHANGE: 20230808 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus (E&P) Energy GP, L.P. CENTRAL INDEX KEY: 0001774123 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153083 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVE 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 AVE CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARBURG PINCUS XI (E&P) PARTNERS-B, L.P. CENTRAL INDEX KEY: 0001676974 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153088 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVE STREET 2: C/O WARBURG PINCUS LLC CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVE STREET 2: C/O WARBURG PINCUS LLC CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: WARBURG PINCUS XI (E&P)PARTNERS-B, L.P. DATE OF NAME CHANGE: 20160613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARBURG PINCUS (E&P) XI, L.P. CENTRAL INDEX KEY: 0001678774 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153087 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 PARTNERS (E&P) XI LLC CENTRAL INDEX KEY: 0001678783 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153085 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 (E&P) XI LLC CENTRAL INDEX KEY: 0001678784 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153086 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 (E&P) XII, L.P. CENTRAL INDEX KEY: 0001912644 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153091 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 (E&P) Energy LLC CENTRAL INDEX KEY: 0001774132 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153082 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVE 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 AVE CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus Energy (E&P) Partners-B, L.P. CENTRAL INDEX KEY: 0001774137 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153084 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVE 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 AVE CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus XII (E&P) Partners-2, L.P. CENTRAL INDEX KEY: 0001792220 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153090 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON 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 CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus (E&P) XII LLC CENTRAL INDEX KEY: 0001912643 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35049 FILM NUMBER: 231153089 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 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 X0508 4 2023-08-01 1 0000010254 EARTHSTONE ENERGY INC ESTE 0001912644 Warburg Pincus (E&P) XII, L.P. C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001792220 Warburg Pincus XII (E&P) Partners-2, L.P. C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001912643 Warburg Pincus (E&P) XII LLC C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001676974 WARBURG PINCUS XI (E&P) PARTNERS-B, L.P. C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001678774 WARBURG PINCUS (E&P) XI, L.P. C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001678784 WARBURG PINCUS (E&P) XI LLC C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001678783 WARBURG PINCUS PARTNERS (E&P) XI LLC C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001774137 Warburg Pincus Energy (E&P) Partners-B, L.P. C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001774123 Warburg Pincus (E&P) Energy GP, L.P. C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001774132 Warburg Pincus (E&P) Energy LLC C/O WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0 Class A Common Stock, par value $0.001 per share 2023-08-01 4 S 0 5000000 14.52 D 7868234 I See footnotes 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. 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"), (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"), (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"), (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"). 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, 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. 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 (E&P) XII, L.P., By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08 Warburg Pincus XII (E&P) Partners-2, L.P., By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signator 2023-08-08 Warburg Pincus (E&P) XII LLC, By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08 Warburg Pincus XI (E&P) Partners-B, L.P., By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08 Warburg Pincus (E&P) XI, L.P., By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08 Warburg Pincus (E&P) XI LLC, By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08 Warburg Pincus Partners (E&P) XI LLC, By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signator 2023-08-08 Warburg Pincus Energy (E&P) Partners-B, L.P., By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08 Warburg Pincus (E&P) Energy GP, L.P., By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08 Warburg Pincus (E&P) Energy LLC, By: Warburg Pincus & Company US, LLC, By: /s/ Harsha G. Marti, Authorized Signatory 2023-08-08