0000928054-23-000128.txt : 20230705 0000928054-23-000128.hdr.sgml : 20230705 20230705213248 ACCESSION NUMBER: 0000928054-23-000128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230701 FILED AS OF DATE: 20230705 DATE AS OF CHANGE: 20230705 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: 231071879 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_168860715722985.xml FORM 4 X0407 4 2023-07-01 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001040899 Nierenberg David 8846 N. SAM HOUSTON PKWY W. HOUSTON TX 77064 1 0 0 0 0 Common Shares 2023-07-01 4 A 0 241096 0 A 419564 D Common Shares 247660 I By Haredale Ltd. Common Shares 2436303 I By The D3 Family Fund, LP Common Shares 4355810 I By The D3 Family Bulldog Fund, LP Restricted stock grant awarded as part of Board compensation, and annual retainer and board fees, which Mr. Nierenberg elected to take in stock rather than cash. Shares vest at the earlier of one year from date of grant and the annual shareholders meeting, but in no event less than one year from date of grant. /s/ J. Bond Clement, attorney-in-fact 2023-07-05