Filing Details

Accession Number:
0000928054-20-000032
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-13 16:57:02
Reporting Period:
2020-03-11
Accepted Time:
2020-03-13 16:57:02
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-03-11 147,069 $0.99 967,742 No 4 P Indirect By The D3 Family Fund, LP
Common Stock Acquisiton 2020-03-12 76,451 $0.90 1,044,193 No 4 P Indirect By The D3 Family Fund, LP
Common Stock Acquisiton 2020-03-13 76,451 $1.01 1,120,644 No 4 P Indirect By The D3 Family Fund, LP
Common Stock Acquisiton 2020-03-11 18,918 $0.99 90,463 No 4 P Indirect By Haredale Ltd.
Common Stock Acquisiton 2020-03-12 7,146 $0.90 97,609 No 4 P Indirect By Haredale Ltd.
Common Stock Acquisiton 2020-03-13 7,146 $1.01 104,755 No 4 P Indirect By Haredale Ltd.
Common Stock Acquisiton 2020-03-11 363,618 $0.99 1,919,013 No 4 P Indirect By The D3 Family Bulldog Fund, LP
Common Stock Acquisiton 2020-03-12 151,600 $0.90 2,070,613 No 4 P Indirect By The D3 Family Bulldog Fund, LP
Common Stock Acquisiton 2020-03-13 151,601 $1.01 2,222,214 No 4 P Indirect By The D3 Family Bulldog Fund, LP
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 Fund, LP
No 4 P Indirect By Haredale Ltd.
No 4 P Indirect By Haredale Ltd.
No 4 P Indirect By Haredale Ltd.
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 The D3 Family Bulldog Fund, LP
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 66,449 Direct
Footnotes
  1. The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.
  2. 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.