Filing Details
- Accession Number:
- 0001181431-12-024935
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2012-04-19 21:42:28
- Reporting Period:
- 2012-01-05
- Filing Date:
- 2012-04-19
- Accepted Time:
- 2012-04-19 20:42:28
- Original Submission Date:
- 2012-01-09
- 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 |
|---|---|---|---|---|---|---|---|
| 1347364 | E Jesse Neyman | 2930 W. Sam Houston Pkwy. N Ste. 300 Houston TX 77043 | Exec Vp, Finance | No | Yes | 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 | 2012-01-05 | 100 | $2.51 | 65,515 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2012-01-05 | 100 | $12.50 | 65,415 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-01-09 | 4,700 | $2.51 | 70,115 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2012-01-09 | 4,700 | $12.50 | 65,415 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
| No | 4 | S | Direct | |
| No | 4 | X | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2012-01-05 | 100 | $2.51 | 100 | $2.51 |
| Common Stock | Stock Option | Disposition | 2012-01-09 | 4,700 | $2.51 | 4,700 | $2.51 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 308,014 | 2010-02-16 | 2015-02-15 | No | 4 | X | Direct |
| 303,314 | 2010-02-16 | 2012-02-15 | No | 4 | X | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $13.81 | 2008-03-13 | 2013-03-12 | 3,070 | 3,070 | Direct |
| Common Stock | Stock Option | $22.75 | 2009-02-28 | 2014-02-27 | 5,784 | 8,854 | Direct |
| Common Stock | Stock Option | $2.51 | 2010-02-16 | 2015-02-15 | 49,260 | 58,114 | Direct |
| Common Stock | Stock Option | $2.30 | 2010-08-11 | 2014-08-10 | 150,000 | 208,114 | Direct |
| Common Stock | Stock Option | $9.19 | 2012-04-08 | 2017-04-07 | 100,000 | 308,114 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2013-03-12 | 3,070 | 3,070 | Direct |
| 2014-02-27 | 5,784 | 8,854 | Direct |
| 2015-02-15 | 49,260 | 58,114 | Direct |
| 2014-08-10 | 150,000 | 208,114 | Direct |
| 2017-04-07 | 100,000 | 308,114 | Direct |
Footnotes
- Exercise of 4,800 shares at $2.15 and Sale of 4,800 shares at $12.50 per share pursuant to a Rule 10b5-1 Trading Plan.
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