SEC Form 4 · accession 0000928054-16-000114
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
Apr 22, 2016
Accepted (ET)
May 9, 2016 · 4:12 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 | Apr 22, 2016 | A | 13,813 | $9.05 | A | 26,728 | D | |
| Common StockF2 | holding | — | — | — | 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 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award grant of 13,813 shares at $9.05 per share which vest at the next annual stockholders' meeting.
- F2Ms. 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.
- 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.