-----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, WzqHawNdCbp+ZbCel/XUHTeYvCG0r2ldfRMl+ybQK6KuGYiVmHdIH5XsKv0VaePy xSkd66SGmlBlpZXCwGARjA== 0001181431-10-036519.txt : 20100706 0001181431-10-036519.hdr.sgml : 20100705 20100706171129 ACCESSION NUMBER: 0001181431-10-036519 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100706 DATE AS OF CHANGE: 20100706 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: 10939622 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 rrd280954.xml DUMAS 63010 SHARES FOR TAXES X0303 4 2010-06-30 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001118049 DUMAS JERRY D SR 2930 W. SAM HOUSTON PKWY. N STE. 300 HOUSTON TX 77043 1 0 0 0 Chairman of the Board Common Stock 2010-06-30 4 F 0 71286 1.21 D 418908 D Common Stock 18096 I Saxton River Coporation 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 Common Stock 86956 632899 D Exercisable Warrants 2.31 2009-08-12 2014-08-11 Common Stock 31000 663899 D Exercisable Warrants 2.45 2009-11-09 2017-10-11 Common Stock 100000 763899 D Portion of RSA shares vesting exchanged with the Company for Income Taxes The Preferred Stock is pepetual and has no expiration date /s/ Jerry D. Dumas, Sr. 2010-07-06 -----END PRIVACY-ENHANCED MESSAGE-----