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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MRD Holdco LLC 1301 MCKINNEY STREET, SUITE 2100 HOUSTON, TX 77010 |
X | Director by Deputization | ||
Natural Gas Partners VIII, L.P. 5221 N. O'CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X | |||
Natural Gas Partners IX, L.P. 5221 N. O'CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X | |||
NGP IX Offshore Holdings, L.P. 5221 N. O'CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X | |||
GFW VIII, L.L.C. 5221 N. O'CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X | |||
G.F.W. Energy VIII, L.P. 5221 N. O'CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X | |||
GFW IX, L.L.C. 5221 N. O?CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X | |||
G.F.W. ENERGY IX, L.P. 5221 N. O'CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X | |||
NGP Energy Capital Management LLC 5221 N. O'CONNOR BLVD., SUITE 1100 IRVING, TX 75039 |
X |
By: /s/ Kyle N. Roane, Vice President, General Counsel & Corporate Secretary of MRD Holdco LLC | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Authorized Member of GFW VIII, L.L.C., general partner of G.F.W. Energy VIII, L.P., general partner of Natural Gas Partners VIII, L.P. | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Authorized Member of GFW VIII, L.L.C., general partner of G.F.W. Energy VIII, L.P. | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Authorized Member of GFW VIII, L.L.C. | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Authorized Member of GFW IX, L.L.C., general partner of G.F.W. Energy IX, L.P., general partner of NGP IX Offshore Holdings, L.P. | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Authorized Member of GFW IX, L.L.C., general partner of G.F.W. Energy IX, L.P., general partner of Natural Gas Partners IX, L.P. | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Authorized Member of GFW IX, L.L.C., general partner of G.F.W. Energy IX, L.P. | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Authorized Member of GFW IX, L.L.C. | 06/19/2014 | |
**Signature of Reporting Person | Date | |
By: /s/ Kenneth A. Hersh, Chief Executive Officer of NGP Energy Capital Management, L.L.C. | 06/19/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Pursuant to that certain Contribution Agreement (the "Contribution Agreement") entered into among Memorial Resource Development LLC ("MRD LLC"), MRD Holdco LLC ("MRD Holdco") and the Issuer, the Issuer cancelled the 100 shares of the Issuer's common stock owned by MRD LLC. MRD LLC was the direct beneficial owner of these 100 shares. MRD Holdco is the sole member of MRD LLC. |
(2) | Pursuant to the Contribution Agreement, (i) MRD LLC caused certain assets to be contributed to the Issuer and received in exchange for such contributions 128,665,677 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on June 18, 2014 (the "IPO") and (ii) MRD LLC then immediately distributed such shares to MRD Holdco. |
(3) | Of the 128,665,677 shares distributed to MRD Holdco pursuant to the Contribution Agreement, MRD Holdco sold 27,720,000 shares to the public in connection with the IPO. Pursuant to the underwriting agreement entered into by the Issuer, MRD Holdco and the representatives of the underwriters, and in connection with the IPO, the underwriters exercised their option to purchase 6,420,000 additional shares from MRD Holdco. |
(4) | This form is jointly filed by MRD Holdco, Natural Gas Partners VIII, L.P. ("NGP VIII"), Natural Gas Partners IX, L.P. ("NGP IX"), NGP IX Offshore Holdings, L.P. ("NGP IX Offshore"), GFW VIII, L.L.C. ("GFW VIII"), G.F.W. Energy VIII, L.P. ("GFW Energy VIII"), GFW IX, L.L.C. ("GFW IX"), G.F.W. Energy IX, L.P. ("GFW Energy IX") and NGP Energy Capital Management, L.L.C. ("NGP ECM"). NGP VIII, NGP IX and NGP IX Offshore own a controlling interest in MRD Holdco. GFW VIII is the sole general partner of GFW Energy VIII, which is the general partner of NGP VIII, and GFW IX is the sole general partner of GFW Energy IX, which is the general partner of NGP IX and NGP IX Offshore. Accordingly, each of MRD Holdco, NGP VIII, NGP IX, NGP IX Offshore, GFW VIII, GFW Energy VIII, GFW IX and GFW Energy IX may be deemed to share voting and dispositive power over the reported securities, and as a result may also be deemed to be the beneficial owners of these securities. |
(5) | (Continued from footnote 4) GFW VIII has delegated full power and authority to manage NGP VIII, and GFW IX has delegated full power and authority to manage NGP IX and NGP IX Offshore, respectively, to NGP ECM and accordingly, NGP ECM may be deemed to share voting and dispositive power over these securities, and as result may be deemed to beneficially own these reported securities. MRD Holdco, NGP VIII, NGP IX, NGP IX Offshore, GFW VIII, GFW Energy VIII, GFW IX, GFW Energy IX and NGP ECM each disclaim beneficial ownership of the reported securities in excess of such entity's pecuniary interest in the securities. This report shall not be deemed an admission that the reporting persons are beneficial owners of the reported securities for purposes of Section 16 or for any other purpose. |
Remarks: MRD Holdco LLC has the right to appoint up to three of the directors of the Board of Directors of the Issuer. Therefore, MRD Holdco LLC may be deemed a director by deputization. |