SEC FORM 4

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

DUMAS JERRY D SR

(Last)

(First)

(Middle)

2930 W. SAM HOUSTON PKWY. N STE. 300

(Street)

HOUSTON

77043

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
FLOTEK INDUSTRIES INC/CN/ [ FTK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chairman and CEO

3. Date of Earliest Transaction (Month/Day/Year)
08/12/2009

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock								591,354	D
Common Stock								18,096	I	Saxton River Corporation
Common Stock								26,000	I	Dora Tes Foundation

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option	$9.4							09/21/2005	09/20/2014	Common Stock	130,279		130,279	D
Stock Option	$2.125							12/10/2005	12/09/2014	Common Stock	66,940		197,219	D
Stock Option	$13.805							03/13/2008	03/12/2013	Common Stock	54,348		251,567	D
Stock Option	$22.37							05/18/2008	05/17/2013	Common Stock	66,600		318,167	D
Stock Option	$22.75							03/28/2009	03/27/2014	Common Stock	27,776		345,943	D
Stock Option	$2.51							02/16/2010	02/15/2015	Common Stock	200,000		545,943	D
Preferred Stock⁽¹⁾	$2.3	08/12/2009		P		86,956		08/12/2009	⁽⁷⁾	Common Stock	86,956	$1,000	632,899	D
Exercisable Warrants⁽²⁾	$2.31	08/12/2009		P		31,000		08/12/2009	08/11/2014	Common Stock	31,000	⁽⁶⁾	663,899	D
Contingent Warrants⁽³⁾	$2.45	08/12/2009		P		100,000		⁽⁴⁾	⁽⁵⁾	Common Stock	100,000	⁽⁶⁾	763,899	D

Explanation of Responses:

1. The Series A Cumulative Convertible Preferred Stock is convertible into 434.782 shares of Common Stock per share of Preferred Stock.

2. The Exercisable Warrants are exercisable into shares of Common Stock at an exercise price of $2.31 per share.

3. The Contingent Warrants are exercisable into shares of Common Stock at an exercise price of $2.45 per share.

4. 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.

5. 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.

6. 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.

7. The Preferred Stock is perpetual and has no expiration date.

	Jerry D. Dumas, Sr.	08/24/2009
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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