SEC Form 4 · accession 0001181431-15-002018
FLOTEK INDUSTRIES INC/CN/ · FTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Chisholm
Officer — Chairman, President and CEO · Director
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 4:17 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 | Feb 3, 2015 | F | 1,951 | $16.66 | D | 481,754 | 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 | $9.40 | holding | — | — | — | Dec 22, 2005 | Dec 21, 2015 | Common Stock | 20,000 | 20,000 | D |
| Stock Option | $2.51 | holding | — | — | — | Feb 16, 2009 | Feb 16, 2015 | Common Stock | 26,668 | 46,668 | D |
| Stock Option | $1.02 | holding | — | — | — | Dec 22, 2009 | Dec 22, 2015 | Common Stock | 400,000 | 446,668 | D |
| Stock Option | $2.17 | holding | — | — | — | Nov 10, 2010 | Nov 10, 2016 | Common Stock | 300,000 | 746,668 | D |
| Stock Option | $9.19 | holding | — | — | — | Apr 8, 2011 | Apr 8, 2017 | Common stock | 400,000 | 1,146,668 | D |
Explanation of responses
- F1Disposition of 1,951 shares at $16.66/share for tax obligation relative to previously granted award vesting on 01/26/2015.