0000928054-21-000075.txt : 20210421 0000928054-21-000075.hdr.sgml : 20210421 20210421210320 ACCESSION NUMBER: 0000928054-21-000075 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210419 FILED AS OF DATE: 20210421 DATE AS OF CHANGE: 20210421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Silas James A CENTRAL INDEX KEY: 0001771630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 21842979 MAIL ADDRESS: STREET 1: 10603 W. SAM HOUSTON PKWY N. STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77064 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: 8846 N. SAM HOUSTON PARKWAY W. CITY: HOUSTON STATE: TX ZIP: 77064 BUSINESS PHONE: 7138499911 MAIL ADDRESS: STREET 1: 8846 N. SAM HOUSTON PARKWAY W. CITY: HOUSTON STATE: TX ZIP: 77064 4 1 wf-form4_161905338659502.xml FORM 4 X0306 4 2021-04-19 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001771630 Silas James A 8846 N. SAM HOUSTON PARKWAY W. SUITE 150 HOUSTON TX 77064 0 1 0 0 SVP Research and Innovation Common Stock 2021-04-19 4 A 0 118750 0 A 373012 D Stock Option 1.44 2021-04-19 4 A 0 89063 0 A 2031-04-19 Common Stock 89063.0 89063 D Stock Option 1.44 2021-04-19 4 A 0 89063 0 A 2031-04-19 Common Stock 89063.0 178126 D Restricted shares that vest ratably over four years from date of grant. Restricted options to purchase common stock. Options vest ratably at share prices of $3, $4, $5 and $7. Restricted options to purchase common stock. Options vest based on percentage of revenue from new products developed over a three-year period. Vesting is ratable at revenue percentages of 15%, 20% and 25%, and is determined on 12/31/24. /s/ Nicholas J. Bigney, attorney-in-fact 2021-04-21