Filing Details
- Accession Number:
- 0000928054-20-000170
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-24 18:21:16
- Reporting Period:
- 2020-08-20
- Accepted Time:
- 2020-08-24 18:21:16
- 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 | 8846 N. Sam Houston Pkwy W. 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 | 2020-08-20 | 53,085 | $1.85 | 1,173,729 | No | 4 | P | Indirect | By The D3 Family Fund, LP |
| Common Stock | Acquisiton | 2020-08-21 | 60,536 | $1.95 | 1,234,265 | No | 4 | P | Indirect | By The D3 Family Fund, LP |
| Common Stock | Acquisiton | 2020-08-24 | 102,681 | $2.11 | 1,336,946 | No | 4 | P | Indirect | By The D3 Family Fund, LP |
| Common Stock | Acquisiton | 2020-08-20 | 127,809 | $1.85 | 2,350,023 | No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| Common Stock | Acquisiton | 2020-08-21 | 121,204 | $1.95 | 2,471,227 | No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| Common Stock | Acquisiton | 2020-08-24 | 205,587 | $2.11 | 2,676,814 | No | 4 | P | Indirect | By The D3 Family Bulldog Fund, LP |
| Common Stock | Acquisiton | 2020-08-20 | 4,106 | $1.85 | 108,861 | No | 4 | P | Indirect | By Haredale Ltd. |
| Common Stock | Acquisiton | 2020-08-21 | 5,615 | $1.95 | 114,476 | No | 4 | P | Indirect | By Haredale Ltd. |
| Common Stock | Acquisiton | 2020-08-24 | 9,524 | $2.11 | 124,000 | No | 4 | P | Indirect | By Haredale Ltd. |
| 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 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 |
| No | 4 | P | Indirect | By Haredale Ltd. |
| No | 4 | P | Indirect | By Haredale Ltd. |
| No | 4 | P | Indirect | By Haredale Ltd. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 156,337 | Direct |
Footnotes
- The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.
Billionaire Hedge Funds
