SEC Form 4 · accession 0000928054-16-000076
FLOTEK INDUSTRIES INC/CN/ · FTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carla S. Hardy
Director
Period of report
Jan 14, 2016
Accepted (ET)
Jan 20, 2016 · 5:59 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 | Aug 3, 2015 | G | 4,070 | $0.00 | D | 184,834 | I | By Carla Shulz Hardy Revocable Trust |
| Common StockF2,F1 | Jan 14, 2016 | S | 2,794 | $7.8504 | D | 182,040 | I | By Carla Shulz Hardy Revocable Trust |
| Common StockF3 | holding | — | — | — | 66,674 | I | By William M. Hardy V Irrevocable Trust | |
| Common StockF3 | holding | — | — | — | 66,674 | I | By Helen G. Hardy Irrevocable Trust | |
| Common StockF3 | holding | — | — | — | 66,673 | I | By Sutton N. Hardy Irrevocable Trust | |
| Common Stock | holding | — | — | — | 12,915 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Ms. Hardy is a trustee and beneficiary of the named trust. Ms. Hardy disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
- F2Disposition on January 14, 2016, of 2,794 shares at $7.8504 per share pursuant to a Rule 10b5-1 Trading Plan.
- F3Ms. Hardy is neither the trustee nor the beneficiary of the named trusts. Ms. Hardy disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.