SEC Form 5 · accession 0001181431-15-002508
FLOTEK INDUSTRIES INC/CN/ · FTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua A Snively
Officer — EVP Chemistry Research
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 4:39 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 StockF4,F1 | Nov 28, 2014 | G | 143,916 | $0.00 | D | 0 | I | By Joshua A. Snively, Sr. Grantor Retained Trust |
| Common StockF5 | Nov 28, 2014 | G | 143,916 | $0.00 | A | 143,916 | I | By Joshua A. Snively, Sr. Irrevocable Trust |
| Common StockF3,F4,F1 | holding | — | — | — | 102,796 | I | By Joshua A. Snively, Sr. and Heather B. Snively Revocable Trust | |
| Common StockF2,F3 | holding | — | — | — | 68,758 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Snively, Sr. is a trustee and beneficiary of the named trusts. Mr. Snively, Sr. disclaims beneficial ownership of such shares except to the extent of his pecuniary interests therein.
- F2Includes the addition of 966 shares purchased through the Employee Stock Purchase Program at an average price of $24.7980/share.
- F3Adjusted for 2,786 shares withheld for tax obligation on 2/14/2014 that were incorrectly reported on Form 4 as Direct ownership instead of Indirect Ownership (understating the Direct ownership ending balance and overstating the Joshua A. Snively, Sr and Heather B. Snively Revocable Trust ending balance).
- F4Balance corrected for overstatement of 28 shares, 10 shares attributable to the Joshua A. Snively, Sr. and Heather B. Snively Revocable Trust and 18 shares attributable to the Joshua A. Snively, Sr. Granto Retained Annuity Trust.
- F5Mr. Snively, Sr.'s spouse is a trustee and beneficiary of the named trust. Mr. Snively, Sr. disclaims beneficial ownership of such shares except to the extent of his pecuniary interests therein.