SEC Form 4 · accession 0001209191-17-064793
EARTHSTONE ENERGY INC · ESTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Lumpkin Jr.
Officer — EVP and CFO
Period of report
Dec 6, 2017
Accepted (ET)
Dec 8, 2017 · 5:37 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Dec 6, 2017 | A | 10,000 | — | A | 50,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This restricted stock unit award vests as to 3,333 units on April 30, 2018 and the remaining 6,667 units will vest in eight equal quarterly installments beginning on June 30, 2018, subject to the terms of the restricted stock unit agreement. Each restricted stock unit represents the contingent right to receive one share of Class A common stock of the Issuer.
- F2Includes a restricted stock unit award that vests as to 13,334 units on January 1, 2018 and the remaining 26,666 units in 12 equal monthly installments beginning on January 31, 2018, subject to the terms of the restricted stock unit agreement. Each restricted stock unit represents the contingent right to receive one share of Class A common stock of the Issuer.