0000928054-19-000065.txt : 20190606 0000928054-19-000065.hdr.sgml : 20190606 20190606171146 ACCESSION NUMBER: 0000928054-19-000065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190604 FILED AS OF DATE: 20190606 DATE AS OF CHANGE: 20190606 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: 19883310 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_155985549157816.xml FORM 4 X0306 4 2019-06-04 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 2019-06-04 4 P 0 49494 3.46 A 549552 I By The D3 Family Fund, LP Common Stock 2019-06-05 4 P 0 25645 3.43 A 575197 I By The D3 Family Fund, LP Common Stock 2019-06-06 4 P 0 21028 3.42 A 596225 I By The D3 Family Fund, LP Common Stock 2019-06-04 4 P 0 44543 3.46 A 1221281 I By The D3 Family Bulldog Fund, LP Common Stock 2019-06-05 4 P 0 23079 3.43 A 1244360 I By The D3 Family Bulldog Fund, LP Common Stock 2019-06-06 4 P 0 18925 3.42 A 1263285 I By The D3 Family Bulldog Fund, LP Common Stock 2019-06-04 4 P 0 2463 3.46 A 52507 I By Haredale Ltd. Common Stock 2019-06-05 4 P 0 1276 3.43 A 53783 I By Haredale Ltd. Common Stock 2019-06-06 4 P 0 1047 3.42 A 54830 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 2019-06-06