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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% | 3.50 | 0 | 12:00:04 |
1. Name and Address of Reporting Person * Nierenberg David | 2. Issuer Name and Ticker or Trading Symbol FLOTEK INDUSTRIES INC/CN/ [ FTK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 9/8/2020 | P | 3795 | A | $2.40 | 1393543 | I | By The D3 Family Fund, LP (1) | ||
Common Stock | 9/9/2020 | P | 14670 | A | $2.43 | 1408213 | I | By The D3 Family Fund, LP (1) | ||
Common Stock | 9/10/2020 | P | 3941 | A | $2.48 | 1412154 | I | By The D3 Family Fund, LP (1) | ||
Common Stock | 9/8/2020 | P | 7596 | A | $2.40 | 2790131 | I | By The D3 Family Bulldog Fund, LP (1) | ||
Common Stock | 9/9/2020 | P | 29370 | A | $2.43 | 2819501 | I | By The D3 Family Bulldog Fund, LP (1) | ||
Common Stock | 9/10/2020 | P | 7893 | A | $2.48 | 2827394 | I | By The D3 Family Bulldog Fund, LP (1) | ||
Common Stock | 9/8/2020 | P | 352 | A | $2.40 | 129249 | I | By Haredale Ltd. (1) | ||
Common Stock | 9/9/2020 | P | 1360 | A | $2.43 | 130609 | I | By Haredale Ltd. (1) | ||
Common Stock | 9/10/2020 | P | 366 | A | $2.48 | 130975 | I | By Haredale Ltd. (1) | ||
Common Stock | 156337 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: | |
(1) | The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Nierenberg David 8846 N. SAM HOUSTON PKWY W. SUITE 300 HOUSTON, TX 77064 | X |
Signatures | ||
/s/ Nicholas J. Bigney, attorney-in-fact | 9/10/2020 | |
**Signature of Reporting Person | Date |
1 Year Flotek Industries Chart |
1 Month Flotek Industries Chart |
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