SEC Form 4 · accession 0000928054-15-000055
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
Dec 21, 2015
Accepted (ET)
Dec 22, 2015 · 4:05 pm EST
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 | Dec 21, 2015 | M | 20,000 | $9.40 | A | 744,589 | D | |
| Common Stock | Dec 21, 2015 | F | 18,025 | $10.75 | D | 726,564 | D | |
| Common Stock | Dec 21, 2015 | F | 828 | $10.75 | D | 725,736 | 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 | $9.40 | Dec 21, 2015 | M | 20,000 | D | Dec 22, 2005 | Dec 21, 2015 | Common Stock | 20,000 | 0 | D |
| Stock Option | $9.19 | holding | — | — | — | Apr 8, 2012 | Apr 8, 2017 | Common Stock | 400,000 | 400,000 | D |
Explanation of responses
- F1Exercise of stock options @ $9.40 per share, pursuant to previously awarded stock option grant.