Filing Details
- Accession Number:
- 0001181431-10-030281
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-28 13:00:00
- Reporting Period:
- 2010-05-26
- Filing Date:
- 2010-05-28
- Accepted Time:
- 2010-05-28 20:09:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 928054 | Flotek Industries Inc | FTK | Miscellaneous Chemical Products (2890) | 900023731 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1118049 | Sr D Jerry Dumas | 2930 W. Sam Houston Pkwy. N Ste. 300 Houston TX 77043 | Chairman Of The Board | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2010-05-26 | 23,600 | $1.42 | 657,269 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-05-26 | 35,464 | $1.45 | 621,805 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-05-27 | 2,000 | $1.42 | 619,805 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-05-27 | 13,100 | $1.43 | 606,705 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-05-27 | 19,709 | $1.44 | 586,996 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-05-27 | 2,000 | $1.45 | 584,996 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 18,096 | Indirect | Saxton River Corporation |
| Common Stock | 26,000 | Indirect | Dora Tes Basileas Foundation |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $9.40 | 2005-09-21 | 2014-09-20 | 130,279 | 130,279 | Direct |
| Common Stock | Stock Option | $2.13 | 2005-12-10 | 2014-12-09 | 66,940 | 197,219 | Direct |
| Common Stock | Stock Option | $13.81 | 2008-03-13 | 2013-03-12 | 54,348 | 251,567 | Direct |
| Common Stock | Stock Option | $22.37 | 2008-05-18 | 2013-05-17 | 66,600 | 318,167 | Direct |
| Common Stock | Stock Option | $22.75 | 2009-03-28 | 2014-03-27 | 27,776 | 345,943 | Direct |
| Common Stock | Stock Option | $2.51 | 2010-02-16 | 2015-02-15 | 200,000 | 545,943 | Direct |
| Common Stock | Preferred Stock | $2.30 | 2009-08-12 | 86,956 | 632,899 | Direct | |
| Common Stock | Exercisable Warrants | $2.31 | 2009-08-12 | 2014-08-11 | 31,000 | 663,899 | Direct |
| Common Stock | Exercisable Warrants | $2.45 | 2009-11-09 | 2017-10-11 | 100,000 | 763,899 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-09-20 | 130,279 | 130,279 | Direct |
| 2014-12-09 | 66,940 | 197,219 | Direct |
| 2013-03-12 | 54,348 | 251,567 | Direct |
| 2013-05-17 | 66,600 | 318,167 | Direct |
| 2014-03-27 | 27,776 | 345,943 | Direct |
| 2015-02-15 | 200,000 | 545,943 | Direct |
| 86,956 | 632,899 | Direct | |
| 2014-08-11 | 31,000 | 663,899 | Direct |
| 2017-10-11 | 100,000 | 763,899 | Direct |
Footnotes
- The Preferred stock is perpetual and has no expiration date.
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