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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 | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 3.48 | 0 | 01:00:00 |
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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¨
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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A.
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Full title of the plan and the address of the plan, if different from that of the issuer named below:
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B.
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Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
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TABLE OF CONTENTS
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Financial Statements and Supplemental Schedule:
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Supplemental Schedule*:
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Exhibit Index:
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Exhibit 23.1 – Consent of Moss Adams LLP
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9
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*
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All other schedules required by 29 CFR 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 are omitted as the schedules are not applicable or required.
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December 31,
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2018
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2017
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Investments, at fair value:
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Money market
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$
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3,000
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$
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—
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Common/collective trust fund
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1,159,292
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1,453,487
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Common stock fund
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27,256
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419,161
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Mutual funds
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15,296,312
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16,948,882
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Total investments, at fair value
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16,485,860
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18,821,530
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Notes receivable from participants
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360,306
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334,573
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Receivables — participant contributions
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490
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—
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Receivables — employer contributions
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300
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—
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Other assets
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464
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227
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Net assets available for benefits
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$
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16,847,420
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$
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19,156,330
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Additions to net assets attributed to:
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Investment income/(loss):
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Dividends
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$
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774,312
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Other investment income
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262
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Net depreciation in fair value of investments
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(1,931,412
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)
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Total investment income/(loss)
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(1,156,838
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)
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Contributions:
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Employer matching contributions
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838,961
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Participant contributions
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2,013,668
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Rollovers
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116,373
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Total contributions
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2,969,002
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Interest income on notes receivable from participants
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19,714
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Other income
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19,487
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Total additions to net assets
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1,851,365
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Deductions from net assets attributed to:
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Benefits paid to participants
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(4,083,352
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)
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Deemed distributions of participant loans receivable
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(68,071
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)
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Administrative fees
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(8,852
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)
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Total deductions from net assets
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(4,160,275
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)
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Net decrease in net assets
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(2,308,910
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)
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Net assets available for benefits, beginning of year
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19,156,330
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Net assets available for benefits, end of year
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$
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16,847,420
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•
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Level 1 — unadjusted, quoted prices for identical assets or liabilities in active markets;
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•
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Level 2 — quoted prices for similar assets and liabilities in active markets, quoted prices for identical or similar assets or liabilities in markets that are not active, and inputs other than quoted market prices that are observable or that can be corroborated by observable market data;
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Level 3 — unobservable inputs based upon the reporting entity’s internally developed assumptions that market participants would use in pricing the asset or liability.
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At December 31, 2018
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Level 1
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Level 2
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Level 3
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Total
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Money market
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$
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3,000
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$
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3,000
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Flotek Industries, Inc. common stock fund
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27,256
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—
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—
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27,256
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Mutual funds
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15,296,312
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—
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—
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15,296,312
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Total assets in the fair value hierarchy
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15,323,568
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—
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—
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15,326,568
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Common/collective trust fund *
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—
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—
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—
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1,159,292
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Total investments, at fair value
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$
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15,323,568
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$
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—
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$
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—
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$
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16,485,860
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At December 31, 2017
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Level 1
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Level 2
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Level 3
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Total
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Flotek Industries, Inc. common stock fund
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$
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419,161
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$
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—
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$
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—
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$
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419,161
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Mutual funds
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16,948,882
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—
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—
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16,948,882
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Total assets in the fair value hierarchy
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17,368,043
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—
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—
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17,368,043
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Common/collective trust fund *
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—
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—
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—
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1,453,487
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Total investments, at fair value
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$
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17,368,043
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$
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—
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$
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—
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$
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18,821,530
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*
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In accordance with Subtopic 820-10, the common/collective trust funds were measured at net asset value per share and have not been classified in the fair value hierarchy. The fair value amounts presented in this table are intended to permit reconciliation of the fair value hierarchy to the line items presented in the statement of net assets available for benefits.
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Identity of Issue, Borrower,
Lessor, or Similar Party
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Description of Investment, including Maturity Date,
Rate of Interest, Collateral, Par or Majority Value
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Cost**
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Current
Value
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Money Market
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BlackRock, Inc.
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BIF Money Fund
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$
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3,000
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Mutual Funds
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Capital Research and Management Company
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American Funds EuroPacific Growth R6
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839,582
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Eagle Asset Management, Inc.
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Carillon Eagle Small Cap Growth R6
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181,387
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Goldman Sachs Asset Management, LP
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Goldman Sachs Small Cap Value Fund R6
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413,666
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Hartford Funds Management Company, LLC
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Hartford Schroders International Multi-Cap Value Fund (SDR)
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1,104,175
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Janus Capital Management LLC
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Janus Henderson Enterprise Fund Class N
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684,542
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MFS Investment Management
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MFS Total Return Bond Fund R6
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2,859,291
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PGIM Investments LLC
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Prudential Jennison Growth Fund Class Z
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1,580,675
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Vanguard Group Inc
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Vanguard 500 Index Fund (Admiral)
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2,252,064
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Vanguard Group Inc
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Vanguard Equity Income Fund (Admiral)
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1,614,661
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Vanguard Group Inc
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Vanguard Inflation Protected Securities Fund (Admiral)
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770,734
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Vanguard Group Inc
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Vanguard Mid Cap Index Fund (Admiral)
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447,218
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Vanguard Group Inc
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Vanguard Small Cap Index Fund (Admiral)
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630,853
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Vanguard Group Inc
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Vanguard Total International Stock Index Fund (Admiral)
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965,783
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Vanguard Group Inc
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Vanguard Total Bond Market Index Fund (Admiral)
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64,772
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Victory Capital Management Inc.
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Victory Sycamore Established Value Fund (I)
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886,909
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Total mutual funds
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15,296,312
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Common/Collective Trust
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Morley Capital Management
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Morley Stable Value Fund 55
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1,159,292
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|
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Common Stock
|
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Flotek Industries, Inc.*
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Flotek Industries, Inc. Common Stock Fund
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27,256
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Total investments
|
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16,485,860
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Participant Loans
|
|
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Participant loans*
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Notes receivable from participants (interest rates from 5.25% to 7.25% with various maturity dates through November 16, 2023)
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360,306
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Total assets held at end of year
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$
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16,846,166
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FLOTEK INDUSTRIES, INC. 401(k) PLAN
(Name of Plan)
|
||
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Date: June 27, 2019
|
By:
|
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/s/ ELIZABETH T. WILKINSON
|
|
|
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Elizabeth T. Wilkinson
|
|
|
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Chief Financial Officer
|
1 Year Flotek Industries Chart |
1 Month Flotek Industries Chart |
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