0000928054-20-000085.txt : 20200507 0000928054-20-000085.hdr.sgml : 20200507 20200507213027 ACCESSION NUMBER: 0000928054-20-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200505 FILED AS OF DATE: 20200507 DATE AS OF CHANGE: 20200507 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: 20858443 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_158890141018572.xml FORM 4 X0306 4 2020-05-05 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 2020-05-05 4 A 0 89888 0 A 156337 D Common Stock 2222214 I By The D3 Family Bulldog Fund, LP Common Stock 1120644 I By The D3 Family Fund, LP Common Stock 104755 I By Haredale Ltd. Award grant of 89,888 shares based on a closing price of $0.89 per share on May 4, 2020 which vest at the 2021 annual stockholders' meeting. /s/ Elizabeth T. Wilkinson, attorney-in-fact for David Nierenberg 2020-05-07