SEC Form 4 · accession 0000928054-17-000045
FLOTEK INDUSTRIES INC/CN/ · FTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John Chisholm
Officer — Chairman, President and CEO · Director
Period of report
Apr 6, 2017
Accepted (ET)
Apr 10, 2017 · 4:06 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 6, 2017 | M | 400,000 | $9.19 | A | 1,203,168 | D | |
| Common Stock | Apr 6, 2017 | F | 321,522 | $12.59 | D | 881,646 | 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 | $9.19 | Apr 6, 2017 | M | 400,000 | D | Apr 8, 2012 | Apr 8, 2017 | Common Stock | 400,000 | 0 | D |
Explanation of responses
- F1Exercise of stock options @ $9.19 per share, pursuant to previously awarded stock option grant.