SEC Form 4 · accession 0001209191-16-129235
EARTHSTONE ENERGY INC · ESTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Alan Lodzinski
Officer — CEO · Director
Period of report
Jun 21, 2016
Accepted (ET)
Jun 22, 2016 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000010254
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 21, 2016 | P | 24,500 | $10.50 | A | 174,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a purchase from the underwriters in the Issuer's public offering.
- F2Includes 150,000 restricted stock units that vest as follows: 50,000 units on January 1, 2017 and the remaining 100,000 units in 12 equal monthly installments beginning on January 31, 2017, subject to the terms of the restricted stock unit agreement. Each restricted stock unit represents the contingent right to receive one share of common stock of the Issuer.