0000928054-19-000069.txt : 20190611 0000928054-19-000069.hdr.sgml : 20190611 20190611184745 ACCESSION NUMBER: 0000928054-19-000069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190607 FILED AS OF DATE: 20190611 DATE AS OF CHANGE: 20190611 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: 19892129 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_156029325052633.xml FORM 4 X0306 4 2019-06-07 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 66449 D Common Stock 2019-06-07 4 P 0 41698 3.57 A 650928 I By The D3 Family Fund, LP Common Stock 2019-06-10 4 P 0 15361 3.68 A 666289 I By The D3 Family Fund, LP Common Stock 2019-06-07 4 P 0 37527 3.57 A 1326982 I By The D3 Family Bulldog Fund, LP Common Stock 2019-06-10 4 P 0 13825 3.68 A 1340807 I By The D3 Family Bulldog Fund, LP Common Stock 2019-06-07 4 P 0 2075 3.57 A 58053 I By Haredale Ltd. Common Stock 2019-06-10 4 P 0 764 3.68 A 58817 I By Haredale Ltd. This total represents the reporting person's directly held shares after giving effect to the transfer of 40,323 total shares as described below in footnotes #4, #5 and #6. The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. The reporting person is the sole owner of the general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP and Haredale Ltd. (collectively, the "Funds"). Pursuant to separate contractual arrangements with each Fund, the reporting person is required to transfer all shares that he is awarded for service as a director of the Company to the respective Funds upon vesting of the shares. The reporting person's pecuniary interest in the shares is dictated by his contractual arrangements with the Funds. This total represents an additional 13,005 shares that were transferred from the reporting person to The D3 Family Fund, LP pursuant to a separate contractual arrangement as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended. This total represents an additional 26,170 shares that were transferred from the reporting person to The D3 Family Bulldog Fund, LP pursuant to a separate contractual arrangement, as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended. This total represents an additional 1,148 shares that were transferred from the reporting person to Haredale Ltd. pursuant to a separate contractual arrangement, as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended. /s/ Elizabeth T. Wilkinson, attorney-in-fact for David Nierenberg 2019-06-11