SEC Form 4 · accession 0000928054-15-000030
FLOTEK INDUSTRIES INC/CN/ · FTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Chisholm
Officer — Chairman, President and CEO · Director
Period of report
Jun 29, 2015
Accepted (ET)
Jul 1, 2015 · 4:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000928054
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 29, 2015 | M | 400,000 | $1.02 | A | 878,991 | D | |
| Common StockF2 | Jun 29, 2015 | M | 300,000 | $2.17 | A | 1,178,991 | D | |
| Common Stock | Jun 29, 2015 | F | 83,980 | $12.61 | D | 1,095,011 | D | |
| Common Stock | Jun 29, 2015 | F | 258,422 | $12.61 | D | 836,589 | D | |
| Common Stock | holding | — | — | — | 20,470 | I | ProTechnics II |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $1.02 | Jun 29, 2015 | M | 400,000 | D | Dec 22, 2009 | Dec 22, 2015 | Common Stock | 400,000 | 20,000 | D |
| Stock Option | $2.17 | Jun 29, 2015 | M | 300,000 | D | Nov 10, 2010 | Nov 10, 2016 | Common Sotck | 300,000 | 20,000 | D |
| Stock Option | $9.40 | holding | — | — | — | Dec 22, 2005 | Dec 21, 2015 | Common Stock | 20,000 | 20,000 | D |
| Stock Option | $9.19 | holding | — | — | — | Apr 8, 2011 | Apr 8, 2017 | Common Stock | 400,000 | 420,000 | D |
Explanation of responses
- F1Exercise of stock options @ $1.02 per share, pursuant to previously awarded stock option grant.
- F2Exercise of stock options @ $2.17 per share, pursuant to previously awarded stock option grant.