-----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, FMpA02XrSoNchYWxFNf9vIPxJBZvRfIxwKOB5esolxZ/w5Iskl1WlUVqVsuBQEc5 U/Vz0yWifaRKuggsTXjf+Q== 0001144204-08-042011.txt : 20080725 0001144204-08-042011.hdr.sgml : 20080725 20080725185826 ACCESSION NUMBER: 0001144204-08-042011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080328 FILED AS OF DATE: 20080725 DATE AS OF CHANGE: 20080725 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: 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DUMAS JERRY D SR CENTRAL INDEX KEY: 0001118049 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 08971719 BUSINESS ADDRESS: STREET 1: C/O FLOTEK INDUSTRIES INC STREET 2: 7030 EMPIRE CENTRAL CITY: HOUSTON STATE: TX ZIP: 77040 BUSINESS PHONE: 7138499911 MAIL ADDRESS: STREET 1: 6560 COPPAGE STREET 2: 6560 COPPAGE CITY: HOUSTON STATE: TX ZIP: 77007 4 1 form416816_072508185808-.xml X0303 4 2008-03-28 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001118049 DUMAS JERRY D SR 6560 COPPAGE HOUSTON TX US 77007 0 1 0 0 CEO and Chairman Common Stock 2008-03-28 4 A 0 10556 0 A 701842 D Common Stock 47616 I Saxton River Corp Stock Option 0.85 2005-09-21 2014-09-20 Common 130279 130279 D Stock Option 2.125 2005-12-10 2014-12-09 Common 66940 197219 D Stock Option 13.805 2008-03-13 2013-03-12 Common 54348 251567 D Stock Option 22.37 2008-05-18 2007-05-18 Common 66600 318167 D Stock Option 22.75 2008-03-28 4 A 0 27776 22.75 A 2009-03-28 2012-03-27 Common 27776 345943 D This restricted stock award (per the "2005 Long-Term Incentive Plan") will vest 25% on each of the next four anniversary dates if both of the following conditions are satisfied: (a)still emp0loyed by the Company or one of its Subsidiaries as of such date and (b) the Company has achieved 90% of Fully Burdened Operating Income Goal (established by the Board of Directors of the Company) for the calendar year ending on December 31st immediately preceeding such anniversary date. If terms are not satisfied such shares for that period will terminate and return to the Company. /s/Jerry D. Dumas, Sr. 2008-07-25 -----END PRIVACY-ENHANCED MESSAGE-----