Filing Details
- Accession Number:
- 0000928054-20-000032
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-13 16:57:02
- Reporting Period:
- 2020-03-11
- Accepted Time:
- 2020-03-13 16:57:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1040899 | David Nierenberg | 10603 W Sam Houston Pkwy N Suite 300 Houston TX 77064 | 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 | Acquisiton | 2020-03-11 | 147,069 | $0.99 | 967,742 | No | 4 | P | Indirect | By The D3 Family Fund, LP |
| Common Stock | Acquisiton | 2020-03-12 | 76,451 | $0.90 | 1,044,193 | No | 4 | P | Indirect | By The D3 Family Fund, LP |
| Common Stock | Acquisiton | 2020-03-13 | 76,451 | $1.01 | 1,120,644 | No | 4 | P | Indirect | By The D3 Family Fund, LP |
| Common Stock | Acquisiton | 2020-03-11 | 18,918 | $0.99 | 90,463 | No | 4 | P | Indirect | By Haredale Ltd. |
| Common Stock | Acquisiton | 2020-03-12 | 7,146 | $0.90 | 97,609 | No | 4 | P | Indirect | By Haredale Ltd. |
| Common Stock | Acquisiton | 2020-03-13 | 7,146 | $1.01 | 104,755 | No | 4 | P | Indirect | By Haredale Ltd. |
| Common Stock | Acquisiton | 2020-03-11 | 363,618 | $0.99 | 1,919,013 | No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| Common Stock | Acquisiton | 2020-03-12 | 151,600 | $0.90 | 2,070,613 | No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| Common Stock | Acquisiton | 2020-03-13 | 151,601 | $1.01 | 2,222,214 | No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By The D3 Family Fund, LP |
| No | 4 | P | Indirect | By The D3 Family Fund, LP |
| No | 4 | P | Indirect | By The D3 Family Fund, LP |
| No | 4 | P | Indirect | By Haredale Ltd. |
| No | 4 | P | Indirect | By Haredale Ltd. |
| No | 4 | P | Indirect | By Haredale Ltd. |
| No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 66,449 | Direct |
Footnotes
- The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.
- The reporting person is the sole owner of the general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP and Haredale Ltd. (collectively, the "Funds"). Pursuant to separate contractual arrangements with each Fund, the reporting person is required to transfer all shares that he is awarded for service as a director of the Company to the respective Funds upon vesting of the shares. The reporting person's pecuniary interest in the shares is dictated by his contractual arrangements with the Funds.
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