-----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, CyrWzBsT0o0/VfNDWWwrNbe7YopvbEY3uCBudcpZg3GZUr86uSrpBGZPjpYW7M9D DhKNLIymsOjNyO3Zpufz9A== 0001181431-09-040918.txt : 20090824 0001181431-09-040918.hdr.sgml : 20090824 20090824164353 ACCESSION NUMBER: 0001181431-09-040918 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090812 FILED AS OF DATE: 20090824 DATE AS OF CHANGE: 20090824 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: 091031566 MAIL ADDRESS: STREET 1: C/O FLOTEK INDUSTRIES, INC. STREET 2: 2930 W. SAM HOUSTON PARKWAY N., STE. 300 CITY: HOUSTON STATE: TX ZIP: 77043 4 1 rrd251245.xml FORM 4 X0303 4 2009-08-12 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001118049 DUMAS JERRY D SR 2930 W. SAM HOUSTON PKWY. N STE. 300 HOUSTON TX 77043 1 1 0 0 Chairman and CEO Common Stock 591354 D Common Stock 18096 I Saxton River Corporation Common Stock 26000 I Dora Tes Foundation Stock Option 9.40 2005-09-21 2014-09-20 Common Stock 130279 130279 D Stock Option 2.125 2005-12-10 2014-12-09 Common Stock 66940 197219 D Stock Option 13.805 2008-03-13 2013-03-12 Common Stock 54348 251567 D Stock Option 22.37 2008-05-18 2013-05-17 Common Stock 66600 318167 D Stock Option 22.75 2009-03-28 2014-03-27 Common Stock 27776 345943 D Stock Option 2.51 2010-02-16 2015-02-15 Common Stock 200000 545943 D Preferred Stock 2.30 2009-08-12 4 P 0 86956 1000.00 A 2009-08-12 Common Stock 86956 632899 D Exercisable Warrants 2.31 2009-08-12 4 P 0 31000 A 2009-08-12 2014-08-11 Common Stock 31000 663899 D Contingent Warrants 2.45 2009-08-12 4 P 0 100000 A Common Stock 100000 763899 D The Series A Cumulative Convertible Preferred Stock is convertible into 434.782 shares of Common Stock per share of Preferred Stock. The Exercisable Warrants are exercisable into shares of Common Stock at an exercise price of $2.31 per share. The Contingent Warrants are exercisable into shares of Common Stock at an exercise price of $2.45 per share. The Contingent Warrants are exercisable on or after the date the stockholders approve the Contingent Warrants and the amendment to the Certificate of Incorporation of the Company to increase the number of authorized shares of Common Stock. The Contingent Warrants expire on or after the earlier of (1) 5:00 p.m. Eastern time on the date the Company obtains stockholder approval as described in footnote (4) above or (2) 5:00 p.m. Eastern time on October 11, 2017. The Warrants were acquired in connection with the purchase of units comprised of the Preferred Stock, exercisable warrants and contingent warrants, for a purchase price of $1,000.00 per unit. The Preferred Stock is perpetual and has no expiration date. Jerry D. Dumas, Sr. 2009-08-24 -----END PRIVACY-ENHANCED MESSAGE-----