0000928054-22-000054.txt : 20220323
0000928054-22-000054.hdr.sgml : 20220323
20220323163002
ACCESSION NUMBER: 0000928054-22-000054
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220321
FILED AS OF DATE: 20220323
DATE AS OF CHANGE: 20220323
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: 22763540
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_164806738493581.xml
FORM 4
X0306
4
2022-03-21
0
0000928054
FLOTEK INDUSTRIES INC/CN/
FTK
0001040899
Nierenberg David
8846 N. SAM HOUSTON PKWY W.
HOUSTON
TX
77064
1
0
0
0
Common Shares
2022-03-21
4
C
0
1036214
0
A
2595383
I
By The D3 Family Fund, LP
Common Shares
2022-03-21
4
C
0
1680008
0
A
4795960
I
By The D3 Family Bulldog Fund, LP
Common Shares
2022-03-21
4
C
0
76808
0
A
242656
I
By Haredale Ltd.
Convertible Debt
1.0881
2022-03-21
4
C
0
1127530.83
D
2022-02-02
2023-02-02
Common Shares
1127530.83
0
I
D3 Family Fund, LP
Convertible Debt
1.0881
2022-03-21
4
C
0
1828058.75
D
2022-02-02
2023-02-03
Common Shares
1828058.75
0
I
D3 Family Bulldog Fund, LP
Convertible Debt
1.0881
2022-03-21
4
C
0
83577.08
D
2022-02-02
2023-02-02
Common Shares
83577.08
0
I
Haredale Limited
Shares from conversion of convertible debt listed in Table II.
Includes 10% PIK interest accrued through the date prior to the conversion date.
Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000
10% PIK convertible debt issued on Feb 2, 2022 was converted early on Mar 21, 2022 at a conversion price of $1.088125.
/s/ Nicholas J. Bigney, attorney-in-fact
2022-03-23