0000928054-22-000012.txt : 20220204 0000928054-22-000012.hdr.sgml : 20220204 20220204161403 ACCESSION NUMBER: 0000928054-22-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220202 FILED AS OF DATE: 20220204 DATE AS OF CHANGE: 20220204 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: 22593652 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: 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_164400921442369.xml FORM 4 X0306 4 2022-02-02 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001040899 Nierenberg David 8846 N. SAM HOUSTON PKWY W. HOUSTON TX 77064 1 0 0 0 Convertible Debt 0.8705 2022-02-02 4 P 0 1278576 0.8705 A 2022-02-02 2023-02-02 Common Shares 1278576.0 1113000 I D3 Family Fund, LP Convertible Debt 0.8705 2022-02-02 4 P 0 2072947 0.8705 A 2022-02-02 2023-02-03 Common Shares 2072946.0 1804500 I D3 Family Bulldog Fund, LP Convertible Debt 0.8705 2022-02-02 4 P 0 94773 0.8705 A 2022-02-02 2023-02-02 Common Shares 94773.0 82500 I Haredale Limited Debt bears 10% PIK interest and converts to common stock at $0.8705 in one year at maturity. Conversion may also take place prior to maturity at $1.088125 under certain circumstances. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Act"), the filing of this Form 4 shall not be deemed an admission by any person reporting on this Form 4 that such person, for purposes of Section 16 of the Act or otherwise, is the beneficial owner of any equity securities covered by this Form /s/ Nicholas J. Bigney, attorney-in-fact 2022-02-04