SEC Form 4 · accession 0000928054-15-000043
FLOTEK INDUSTRIES INC/CN/ · FTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven A Reeves
Officer — Exec. VP, Operations
Period of report
May 29, 2015
Accepted (ET)
Sep 15, 2015 · 4:16 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 Stock | May 29, 2015 | G | 162,926 | $0.00 | D | 92,970 | D | |
| Common SotckF1 | May 29, 2015 | G | 162,926 | $0.00 | A | 162,926 | I | Linda Jo Reeves Living Trust |
| Common SotckF2,F1 | Sep 14, 2015 | S | 41,934 | $18.8423 | D | 120,992 | I | Linda Jo Reeves Living Trust |
| Common Stock | holding | — | — | — | 21,087 | I | Flotek 401K |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $9.19 | holding | — | — | — | Apr 8, 2012 | Apr 7, 2017 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1Mr. Reeves is a trustee and beneficiary of the named trust. Mr. Reeves disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F2Disposition on September 14, 2015, of 41,934 shares at $18.8423 per share pursuant to a Rule 10b5-1 Trading Plan.