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Filing Details

Accession Number:: 0000928054-19-000069
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-06-11 18:47:45
Reporting Period:: 2019-06-07

Accepted Time:: 2019-06-11 18:47:45
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
928054	Flotek Industries Inc	FTK	Miscellaneous Chemical Products (2890)	900023731

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1040899	David Nierenberg	10603 W Sam Houston Pkwy N Suite 300 Houston TX 77064		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2019-06-07	41,698	$3.57	650,928	No	4	P	Indirect	By The D3 Family Fund, LP
Common Stock	Acquisiton	2019-06-10	15,361	$3.68	666,289	No	4	P	Indirect	By The D3 Family Fund, LP
Common Stock	Acquisiton	2019-06-07	37,527	$3.57	1,326,982	No	4	P	Indirect	By The D3 Family Bulldog Fund, LP
Common Stock	Acquisiton	2019-06-10	13,825	$3.68	1,340,807	No	4	P	Indirect	By The D3 Family Bulldog Fund, LP
Common Stock	Acquisiton	2019-06-07	2,075	$3.57	58,053	No	4	P	Indirect	By Haredale Ltd.
Common Stock	Acquisiton	2019-06-10	764	$3.68	58,817	No	4	P	Indirect	By Haredale Ltd.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By The D3 Family Fund, LP
No	4	P	Indirect	By The D3 Family Fund, LP
No	4	P	Indirect	By The D3 Family Bulldog Fund, LP
No	4	P	Indirect	By The D3 Family Bulldog Fund, LP
No	4	P	Indirect	By Haredale Ltd.
No	4	P	Indirect	By Haredale Ltd.

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	66,449	Direct

Footnotes

This total represents the reporting person's directly held shares after giving effect to the transfer of 40,323 total shares as described below in footnotes #4, #5 and #6.
The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.
The reporting person is the sole owner of the general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP and Haredale Ltd. (collectively, the "Funds"). Pursuant to separate contractual arrangements with each Fund, the reporting person is required to transfer all shares that he is awarded for service as a director of the Company to the respective Funds upon vesting of the shares. The reporting person's pecuniary interest in the shares is dictated by his contractual arrangements with the Funds.
This total represents an additional 13,005 shares that were transferred from the reporting person to The D3 Family Fund, LP pursuant to a separate contractual arrangement as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
This total represents an additional 26,170 shares that were transferred from the reporting person to The D3 Family Bulldog Fund, LP pursuant to a separate contractual arrangement, as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
This total represents an additional 1,148 shares that were transferred from the reporting person to Haredale Ltd. pursuant to a separate contractual arrangement, as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended.