Statement of Changes in Beneficial Ownership (4)
September 15 2020 - 07:12PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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APPROVAL
OMB Number: 3235-0287
Estimated average burden
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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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)
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(Last)
(First)
(Middle)
8846 N. SAM HOUSTON PKWY W., SUITE 300 |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/11/2020
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(Street)
HOUSTON, TX 77064
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 |
9/11/2020 |
|
P |
|
15659 |
A |
$2.44 |
1427813 |
I |
By The D3 Family Fund, LP (1) |
Common Stock |
9/14/2020 |
|
P |
|
13873 |
A |
$2.51 |
1441686 |
I |
By The D3 Family Fund, LP (1) |
Common Stock |
9/15/2020 |
|
P |
|
7728 |
A |
$2.53 |
1449414 |
I |
By The D3 Family Fund, LP (1) |
Common Stock |
9/11/2020 |
|
P |
|
31352 |
A |
$2.44 |
2858746 |
I |
By The D3 Family Bulldog Fund,
LP (1) |
Common Stock |
9/14/2020 |
|
P |
|
27777 |
A |
$2.51 |
2886523 |
I |
By The D3 Family Bulldog Fund,
LP (1) |
Common Stock |
9/15/2020 |
|
P |
|
15473 |
A |
$2.53 |
2901996 |
I |
By The D3 Family Bulldog Fund,
LP (1) |
Common Stock |
9/11/2020 |
|
P |
|
1452 |
A |
$2.44 |
132427 |
I |
By Haredale Ltd. (1) |
Common Stock |
9/14/2020 |
|
P |
|
1287 |
A |
$2.51 |
133714 |
I |
By Haredale Ltd. (1) |
Common Stock |
9/15/2020 |
|
P |
|
717 |
A |
$2.53 |
134431 |
I |
By Haredale Ltd. (1) |
Common Stock |
|
|
|
|
|
|
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156337 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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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 |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Nierenberg David
8846 N. SAM HOUSTON PKWY W.
SUITE 300
HOUSTON, TX 77064 |
X |
|
|
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Signatures
|
/s/ Nicholas J. Bigney,
attorney-in-fact |
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9/15/2020 |
**Signature of
Reporting Person |
Date |