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