SEC Form 5 · accession 0001209191-18-006806
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
Dec 31, 2017
Accepted (ET)
Feb 2, 2018 · 4:09 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 | Oct 2, 2017 | F | 10,488 | $10.99 | D | 189,512 | D | |
| Class A Common Stock | Nov 14, 2017 | G | 14,512 | $0.00 | D | 175,000 | D | |
| Class A Common StockF3 | Nov 14, 2017 | G | 14,512 | $0.00 | A | 207,310 | I | By Azure Energy, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares of Class A common stock withheld by the Registrant to cover tax withholding obligations of the reporting person arising from the settlement of a restricted stock unit award on October 2, 2017 granted under the Earthstone Energy, Inc. 2014 Long-Term Incentive Plan.
- F2This transaction involved a gift of securities by the reporting person to Azure Energy, LLC.
- F3The reporting person disclaims beneficial ownership of any shares of the Registrant's Class A common stock held by Azure Energy, LLC, except to the extent of his pecuniary interest therein.