SEC Form 5 · accession 0000928054-17-000021
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
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 6:40 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,F2 | Aug 24, 2016 | G | 2,795 | $0.00 | D | 192,160 | I | By Carla Shulz Hardy Revocable Trust |
| Common StockF1 | holding | — | — | — | 13,813 | D | ||
| 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
- F1Transfer of 12,915 shares from direct ownership to indirect ownership through the Carla Shulz Hardy Revocable Trust.
- 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.