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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Flotek Industries Inc | NYSE:FTK | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-0.0203 | -0.58% | 3.4597 | 3.50 | 3.39 | 3.46 | 13,092 | 18:08:58 |
Flotek Industries, Inc.
|
(Name of Issuer)
|
Common Stock, $0.0001 par value
|
(Title of Class of Securities)
|
343389102
|
(CUSIP Number)
|
Edward E. Murphy
c/o North Sound Management, Inc.
115 East Putnam Avenue
Greenwich, CT 06830
(203) 340-8306
|
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications) |
December 3, 2020
|
(Date of Event which Requires Filing of this Statement)
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 2 of 7
|
1
|
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
North Sound Management, Inc.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
OO
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐ |
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
|
7
|
SOLE VOTING POWER
7,000,000
|
8
|
SHARED VOTING POWER
0
|
|
9
|
SOLE DISPOSITIVE POWER
7,000,000
|
|
10
|
SHARED DISPOSITIVE POWER
0
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,000,000
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
|
|
14
|
TYPE OF REPORTING PERSON
IA, CO
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 3 of 7
|
1
|
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brian Miller
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
OO
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐ |
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
|
7
|
SOLE VOTING POWER
7,000,000
|
8
|
SHARED VOTING POWER
0
|
|
9
|
SOLE DISPOSITIVE POWER
7,000,000
|
|
10
|
SHARED DISPOSITIVE POWER
0
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,000,000
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
|
|
14
|
TYPE OF REPORTING PERSON
IN
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 4 of 7
|
1
|
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
North Sound Trading, LP
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
OO
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐ |
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
|
7
|
SOLE VOTING POWER
7,000,000
|
8
|
SHARED VOTING POWER
0
|
|
9
|
SOLE DISPOSITIVE POWER
7,000,000
|
|
10
|
SHARED DISPOSITIVE POWER
0
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,000,000
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐ |
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
|
|
14
|
TYPE OF REPORTING PERSON
PN
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 5 of 7
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 6 of 7
|
Date
|
Shares Purchased
|
Per Share Price ($)
|
10/2/2020
|
50,000
|
2.92
|
10/5/2020
|
65,000
|
2.80
|
10/7/2020
|
51,527
|
2.71
|
10/8/2020
|
25,000
|
2.87
|
10/9/2020
|
29,000
|
2.87
|
10/14/2020
|
32,183
|
2.83
|
10/19/2020
|
30,000
|
2.97
|
10/20/2020
|
25,000
|
2.98
|
10/21/2020
|
10,000
|
2.94
|
10/23/2020
|
82,290
|
2.94
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 7 of 7
|
NORTH SOUND MANAGEMENT, INC.
|
||||
|
By:
|
/s/ Brian Miller | ||
Name: | Brian Miller | |||
Title: | President |
NORTH SOUND TRADING, LP
|
||||
By:
|
North Sound Management, Inc., its
general partner
|
|||
By: | /s/ Brian Miller | |||
Name: | Brian Miller | |||
Title: | President |
|
/s/ Brian Miller
|
|||
Brian Miller | ||||
1 Year Flotek Industries Chart |
1 Month Flotek Industries Chart |
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