SEC Form 5 · accession 0001181431-15-002441
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, 2014
Accepted (ET)
Feb 13, 2015 · 2:23 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 StockF3,F1 | Dec 10, 2014 | G | 12,400 | $0.00 | D | 229,404 | I | By Carla Shulz Hardy Revocable Trust |
| Common StockF1 | Dec 8, 2014 | G | 200,021 | $0.00 | D | 0 | I | By Carla S. Hardy Grantor Retained Annuity Trust |
| Common StockF2 | Dec 8, 2014 | G | 66,674 | $0.00 | A | 66,674 | I | By William M. Hardy V Irrevocable Trust |
| Common StockF2 | Dec 8, 2014 | G | 66,674 | $0.00 | A | 66,674 | I | By Helen G. Hardy Irrevocable Trust |
| Common StockF2 | Dec 8, 2014 | G | 66,673 | $0.00 | A | 66,673 | I | By Sutton N. Hardy Irrevocable Trust |
| Common StockF3 | holding | — | — | — | 4,380 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Ms. Hardy is a trustee and beneficiary of the named trusts. Ms. Hardy disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
- F2Ms. 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.
- F3Adjusted for 6,864 shares, vested on 6/10/2014 that were incorrectly reported on Form 4 as Direct ownership instead of Indirect ownership (overstating the Direct ownership ending balance and understating the Carla Shulz Hardy Revocable Trust ending balance)