0000928054-20-000032.txt : 20200313
0000928054-20-000032.hdr.sgml : 20200313
20200313165702
ACCESSION NUMBER: 0000928054-20-000032
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200311
FILED AS OF DATE: 20200313
DATE AS OF CHANGE: 20200313
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: 20713601
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_158413300459584.xml
FORM 4
X0306
4
2020-03-11
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
2020-03-11
4
P
0
147069
0.99
A
967742
I
By The D3 Family Fund, LP
Common Stock
2020-03-12
4
P
0
76451
0.90
A
1044193
I
By The D3 Family Fund, LP
Common Stock
2020-03-13
4
P
0
76451
1.01
A
1120644
I
By The D3 Family Fund, LP
Common Stock
2020-03-11
4
P
0
18918
0.99
A
90463
I
By Haredale Ltd.
Common Stock
2020-03-12
4
P
0
7146
0.90
A
97609
I
By Haredale Ltd.
Common Stock
2020-03-13
4
P
0
7146
1.01
A
104755
I
By Haredale Ltd.
Common Stock
2020-03-11
4
P
0
363618
0.99
A
1919013
I
By The D3 Family Bulldog Fund, LP
Common Stock
2020-03-12
4
P
0
151600
0.90
A
2070613
I
By The D3 Family Bulldog Fund, LP
Common Stock
2020-03-13
4
P
0
151601
1.01
A
2222214
I
By The D3 Family Bulldog Fund, LP
Common Stock
66449
D
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.
/s/ Elizabeth T. Wilkinson, attorney-in-fact for David Nierenberg
2020-03-13