0000928054-19-000063.txt : 20190603 0000928054-19-000063.hdr.sgml : 20190603 20190603170615 ACCESSION NUMBER: 0000928054-19-000063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190530 FILED AS OF DATE: 20190603 DATE AS OF CHANGE: 20190603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nierenberg David CENTRAL INDEX KEY: 0001040899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 19874174 MAIL ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: NIERENBERG DAVID DATE OF NAME CHANGE: 19970611 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FLOTEK INDUSTRIES INC/CN/ CENTRAL INDEX KEY: 0000928054 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS CHEMICAL PRODUCTS [2890] IRS NUMBER: 900023731 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10603 W. SAM HOUSTON PARKWAY N STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77064 BUSINESS PHONE: 7138499911 MAIL ADDRESS: STREET 1: 10603 W. SAM HOUSTON PARKWAY N STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77064 4 1 wf-form4_155959595948750.xml FORM 4 X0306 4 2019-05-30 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001040899 Nierenberg David 10603 W SAM HOUSTON PKWY N SUITE 300 HOUSTON TX 77064 1 0 0 0 Common Stock 106772 D Common Stock 2019-05-30 4 P 0 10360 3.08 A 458488 I By The D3 Family Fund, LP Common Stock 2019-05-31 4 P 0 17900 3.06 A 476388 I By The D3 Family Fund, LP Common Stock 2019-06-03 4 P 0 23670 3.19 A 500058 I By The D3 Family Fund, LP Common Stock 2019-05-30 4 P 0 9324 3.08 A 1139327 I By The D3 Family Bulldog Fund, LP Common Stock 2019-05-31 4 P 0 16109 3.06 A 1155436 I By The D3 Family Bulldog Fund, LP Common Stock 2019-06-03 4 P 0 21302 3.19 A 1176738 I By The D3 Family Bulldog Fund, LP Common Stock 2019-05-30 4 P 0 516 3.08 A 47975 I By Haredale Ltd. Common Stock 2019-05-31 4 P 0 891 3.06 A 48866 I By Haredale Ltd. Common Stock 2019-06-03 4 P 0 1178 3.19 A 50044 I By Haredale Ltd. The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. /s/ Elizabeth T. Wilkinson, attorney-in-fact for David Nierenberg 2019-06-03