SEC Form 4 · accession 0000928054-18-000062
FLOTEK INDUSTRIES INC/CN/ · FTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Nierenberg
Director
Period of report
Jun 1, 2018
Accepted (ET)
Jun 5, 2018 · 4:08 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 | Jun 1, 2018 | A | 40,323 | $0.00 | A | 40,323 | D | |
| Common StockF2 | holding | — | — | — | 448,128 | I | By The D3 Family Fund, LP | |
| Common StockF2 | holding | — | — | — | 1,096,190 | I | By The D3 Family Bulldog Fund, LP | |
| Common StockF2 | holding | — | — | — | 81,272 | I | By The DIII Offshore Fund, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award grant of 40,323 shares which vest on the date of the next annual stockholders' meeting.
- F2The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.