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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Production Opportunities II, 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 |  |  |
G.F.W. ENERGY IX, 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 |  |  |
NGP Energy Capital Management, L.L.C. 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 |  |  |
/s/ James E. Mutrie, attorney-in-fact for Production Opportunities II, L.P. | 02/13/2015 | |
**Signature of Reporting Person | Date | |
/s/ James E. Mutrie, attorney-in-fact for the general partner of the general partner of Natural Gas Partners IX, L.P. | 02/13/2015 | |
**Signature of Reporting Person | Date | |
/s/ James E. Mutrie, attorney-in-fact for the general partner of the general partner of NGP IX Offshore Holdings, L.P. | 02/13/2015 | |
**Signature of Reporting Person | Date | |
/s/ James E. Mutrie, attorney-in-fact for the general partner of G.F.W. Energy IX, L.P. | 02/13/2015 | |
**Signature of Reporting Person | Date | |
/s/ James E. Mutrie, attorney-in-fact for GFW IX, L.L.C. | 02/13/2015 | |
**Signature of Reporting Person | Date | |
/s/ James E. Mutrie, attorney-in-fact for NGP Energy Capital Management, L.L.C. | 02/13/2015 | |
**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) | In connection with its impending dissolution, RSP Permian Holdco, L.L.C. ("Holdco") made a pro rata distribution of all of the shares of RSP Permian, Inc.'s common stock, par value $0.01 per share ("common stock"), that it held to its members. Production Opportunities II, L.P. ("Production Opportunities") received 5,941,873 shares of common stock pursuant to this distribution from Holdco. |
(2) | Held directly by Production Opportunities. |
(3) | This form is jointly filed by Production Opportunities, Natural Gas Partners IX, L.P. ("NGP IX"), NGP IX Offshore Holdings, L.P. ("NGP Offshore"), G.F.W. Energy IX, L.P. ("GFW Energy"), GFW IX, L.L.C. ("GFW IX") and NGP Energy Capital Management, L.L.C. ("NGP ECM"). GFW IX is the general partner of GFW Energy, the general partner of each of NGP IX and NGP Offshore, which jointly own Production Opportunities. Accordingly, each of GFW IX, GFW Energy, NGP IX, and NGP Offshore may be deemed to share voting and dispositive power over the reported securities of Production Opportunities, and as a result may be deemed to beneficially own the reported securities of Production Opportunities. |
(4) | GFW IX has delegated full power and authority to manage NGP IX and NGP Offshore to NGP ECM and accordingly, NGP ECM may be deemed to share voting and dispositive power over the reported securities of Production Opportunities, and as result may be deemed to beneficially own the reported securities of Production Opportunities. Each of GFW IX, GFW Energy, NGP IX, NGP Offshore and NGP ECM disclaim beneficial ownership of the reported securities in excess of their pecuniary interests therein. |