-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AZYZgIlIv8lkmQEkU0PMCNwzmEtpDADf+hnTG4q3DxYPyOeKcS99JKi0sQGN4qb4 0ooEpuS/PlspaMaB6VrP1Q== 0001144204-05-030103.txt : 20050928 0001144204-05-030103.hdr.sgml : 20050928 20050928110514 ACCESSION NUMBER: 0001144204-05-030103 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20050928 ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20050928 DATE AS OF CHANGE: 20050928 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FLOTEK INDUSTRIES INC/CN/ CENTRAL INDEX KEY: 0000928054 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-INDUSTRIAL MACHINERY & EQUIPMENT [5084] IRS NUMBER: 900023731 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 051107055 BUSINESS ADDRESS: STREET 1: 7030 EMPIRE CENTRAL DRIVE CITY: HOUSTON STATE: TX ZIP: 77040 BUSINESS PHONE: 7138499911 MAIL ADDRESS: STREET 1: 7030 EMPIRE CENTRAL DRIVE CITY: HOUSTON STATE: TX ZIP: 77040 8-K 1 v026407_8k.htm

 
UNITED STATES
 
SECURITIES AND EXCHANGE COMMISSION
 
WASHINGTON, D.C. 20549
 
FORM 8-K
 
 
CURRENT REPORT
 
PURSUANT TO SECTION 13 OR 15(D)
OF THE SECURITIES EXCHANGE ACT OF 1934 
 
Commission File Number 1-13270
 

 
FLOTEK INDUSTRIES, INC.
 
Incorporated pursuant to the Laws of the State of Delaware
 

 
 
Internal Revenue Service -Employer Identification No. 90-0023731
 
7030 Empire Central Drive, Houston, Texas 77040
 
(713) 849-9911
 



 
ITEM 3.01.    Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
 
 
Attached hereto as Exhibit 99.1 is a press release, which is incorporated by reference herein, issued by Flotek Industries, Inc. (the “Company”) on September 28, 2005, announcing the Company’s receipt of a warning letter from the staff of the American Stock Exchange advising the Company its failure to comply with the continued listing standard described in Section 301 of the AMEX Company Guide, which provides that a listed company is not permitted to issue, or authorize its transfer agent or registrar to issue or register, additional securities of a listed class until is has filed an application for the listing of such additional securities and received notification from the AMEX that the securities have been approved for listing. 
 
 
 
 

 
The Company filed an application for the listing of additional securities and received notification from the AMEX on September 21, 2005 that the securities have been approved for listing, resolving the compliance deficiency.
 
 
ITEM 9.01.    Financial Statements and Exhibits.
 
 
        (a)        Exhibits:
 
Exhibit Number
 
 
Description of Exhibit
     
99.1
 
News Release dated September 28, 2005
 

 
 
SIGNATURES
 
 
Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
 
     
  Date:  September 27, 2005
 
 
 
 
 
 
  By:   /s/ Lisa Bromiley Meier
  Lisa Bromiley Meier
 
Chief Financial Officer
 
 

 
 

 
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NEWS RELEASE
 
FLOTEK INDUSTRIES, INC.
 
FLOTEK INDUSTRIES, INC.
 
Houston, Texas
 
Wednesday, September 28, 2005
7:00 a.m. CST
   

FLOTEK INDUSTRIES ANNOUNCES RESPONSE TO WARNING LETTER RECEIVED FROM AMEX
 
HOUSTON, September 28, 2005 - Flotek Industries, Inc. (the “Company”), announced that it received a warning letter from the staff of the American Stock Exchange (the "AMEX") that the Company was not in compliance with the continued listing standard described in Section 301 of the AMEX Company Guide because the securities issued in its previously announced private equity placement were issued prior to applying for the listing of such securities and receiving notification from the AMEX that the securities had been approved for listing.
 
 
The Company received the warning letter on September 2, 2005 and filed an application for the listing of additional securities with the AMEX on the same date. On September 21, 2005 Flotek received notification from the AMEX that the application to list additional securities had been approved, resolving the compliance deficiency.
 
 
In the letter, the Company was advised that the AMEX staff would not initiate further continued listing evaluation and follow-up procedures as specified in Section 1009 of the Company Guide.
 
 
 
 
Flotek began trading on the AMEX on July 27, 2005. Flotek is a publicly traded company involved in the manufacturing and marketing of innovative specialty chemicals, downhole drilling and production equipment, and management of automated bulk material handling, loading and blending facilities. It serves major and independent companies in the domestic and international oilfield service industry.
 
 
For product information and additional information on the Company, please visit Flotek’s web site at http://www.flotekind.com.
 
 
 
CONTACT:
Flotek Industries, Inc.
Rosalie Melia, Corporate Secretary
713.849.9911
 


 
 

 
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