SEC Form 4 · accession 0001567619-18-002747
Liberty Energy Inc. · LBRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Riverstone/Carlyle Energy Partners IV, L.P.
Director · 10% Owner
R/C Energy GP IV, LLC
Director · 10% Owner
R/C Energy IV Direct Partnership, L.P.
Director · 10% Owner
R/C IV Liberty Holdings, L.P.
Director · 10% Owner
Period of report
Sep 14, 2018
Accepted (ET)
Sep 17, 2018 · 5:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001694028
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Sep 14, 2018 | S | 9,035 | $18.9618 | D | 69,470 | D | |
| Class A Common StockF1,F2,F3 | Sep 14, 2018 | S | 1,730,689 | $18.9618 | D | 2,604,248 | I | See footnotes |
| Class A Common StockF1,F2,F4 | Sep 14, 2018 | S | 751,436 | $18.9618 | D | 14,508,045 | I | See footnotes |
| Class B Common StockF1,F2 | holding | — | — | — | 557,972 | D | ||
| Class B Common StockF1,F2,F3 | holding | — | — | — | 30,810,350 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of R/C Energy GP IV, LLC ("R/C GP IV"), which is the sole general partner of Riverstone/Carlyle Energy Partners IV, L.P. ("Riverstone/Carlyle EP IV"), and Riverstone/Carlyle EP IV, which is the sole general partner of each of R/C Energy IV Direct Partnership, L.P. ("R/C Direct") and R/C IV Liberty Holdings, L.P. ("R/C IV Liberty"), may be deemed to have an indirect pecuniary interest in the securities held directly by R/C Direct and R/C IV Liberty. In accordance with Instruction 4(b)(iv), the entire amount of the securities held by each of Riverstone/Carlyle EP IV, R/C Direct and R/C IV Liberty are reported herein.
- F2(Continued from footnote 1) Each reporting person disclaims beneficial ownership of any securities that are not directly owned by such reporting person, except to the extent of their indirect pecuniary interest therein. This report shall not be deemed an admission that such reporting person is a member of a group or the beneficial owner of any securities not directly owned by such reporting person.
- F3Shares held directly by R/C IV Liberty.
- F4Shares held directly by R/C Direct.
Remarks
Each of Ken Babcock, N. John Lancaster, Jr., Jesal Shah and Brett Staffieri serve on the board of directors of the Issuer as a representative of the reporting persons. As a result, each reporting person herein may be deemed a director by deputization for the purposes of Section 16 of the Exchange Act.