FORM 5
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

                                                                                  

OMB APPROVAL
OMB Number: 3235-0362
Estimated average burden
hours per response...
1.0
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Hardy Carla S.

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)

(Last)          (First)          (Middle)

10603 W. SAM HOUSTON PKWY N.,  SUITE 300

3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
12/31/2014 
(Street)

HOUSTON, TX 77064

(City)        (State)        (Zip)
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)
Amount (A) or (D) Price
Common Stock   12/10/2014     G   12400   D $0   229404   (3) I   By Carla Shulz Hardy Revocable Trust   (1)
Common Stock   12/8/2014     G   200021   D $0   0   I   By Carla S. Hardy Grantor Retained Annuity Trust   (1)
Common Stock   12/8/2014     G   66674   A $0   66674   I   By William M. Hardy V Irrevocable Trust   (2)
Common Stock   12/8/2014     G   66674   A $0   66674   I   By Helen G. Hardy Irrevocable Trust   (2)
Common Stock   12/8/2014     G   66673   A $0   66673   I   By Sutton N. Hardy Irrevocable Trust   (2)
Common Stock                 4380   (3) D    

Table II - Derivative Securities Acquired, Disposed of, or 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
(MM/DD/YYYY)
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 at End of Issuer's Fiscal Year
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
( 1)  Ms. Hardy is a trustee and beneficiary of the named trusts. Ms. Hardy disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
( 2)  Ms. Hardy is neither the trustee nor the beneficiary of the named trusts. Ms. Hardy disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
( 3)  Adjusted for 6,864 shares, vested on 6/10/2014 that were incorrectly reported on Form 4 as Direct ownership instead of Indirect ownership (overstating the Direct ownership ending balance and understating the Carla Shulz Hardy Revocable Trust ending balance)

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Hardy Carla S.
10603 W. SAM HOUSTON PKWY N.
SUITE 300
HOUSTON, TX 77064
X



Signatures
/s/Carla Schulz Hardy 2/13/2015
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Flotek Industries (NYSE:FTK)
Historical Stock Chart
From Mar 2024 to Apr 2024 Click Here for more Flotek Industries Charts.
Flotek Industries (NYSE:FTK)
Historical Stock Chart
From Apr 2023 to Apr 2024 Click Here for more Flotek Industries Charts.