0001401257-14-000099.txt : 20140515
0001401257-14-000099.hdr.sgml : 20140515
20140515095313
ACCESSION NUMBER: 0001401257-14-000099
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140515
FILED AS OF DATE: 20140515
DATE AS OF CHANGE: 20140515
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FORUM ENERGY TECHNOLOGIES, INC.
CENTRAL INDEX KEY: 0001401257
STANDARD INDUSTRIAL CLASSIFICATION: OIL & GAS FILED MACHINERY & EQUIPMENT [3533]
IRS NUMBER: 611488595
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 920 MEMORIAL CITY WAY
STREET 2: SUITE 1000
CITY: HOUSTON
STATE: TX
ZIP: 77024
BUSINESS PHONE: 713-351-7900
MAIL ADDRESS:
STREET 1: 920 MEMORIAL CITY WAY
STREET 2: SUITE 1000
CITY: HOUSTON
STATE: TX
ZIP: 77024
FORMER COMPANY:
FORMER CONFORMED NAME: FORUM OILFIELD TECHNOLOGIES, INC.
DATE OF NAME CHANGE: 20100726
FORMER COMPANY:
FORMER CONFORMED NAME: FORUM OILFIELD TECHNOLOGIES INC
DATE OF NAME CHANGE: 20070529
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GAUT C CHRISTOPHER
CENTRAL INDEX KEY: 0001191238
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35504
FILM NUMBER: 14844326
MAIL ADDRESS:
STREET 1: 1401 MCKINNEY STREET
STREET 2: SUITE 2400
CITY: HOUSTON
STATE: TX
ZIP: 77010
4
1
wf-form4_140016198305580.xml
FORM 4
X0306
4
2014-05-15
0
0001401257
FORUM ENERGY TECHNOLOGIES, INC.
FET
0001191238
GAUT C CHRISTOPHER
920 MEMORIAL CITY WAY
SUITE 1000
HOUSTON
TX
77024
1
1
0
0
President, CEO & COB
Common Stock
2014-05-15
4
X
0
159230
9.62
A
606609
D
Common Stock
161972
I
See Footnote
Common Stock
161972
I
See Footnote
Common Stock Warrants (right to buy)
9.62
2014-05-15
4
X
0
227772
0
D
2010-08-02
Common Stock
159230.0
0
D
These securities are held in trust for the benefit of the reporting person. The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
These securities are held in trust for the benefit of the reporting person's spouse. The reporting person's spouse is the trustee of the trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
These warrants have an initial exercise price of $7.68 per share. The exercise price increases 0.5% at the end of each month, which equates to an annual increase of 6%.
The number of warrants reported on the reporting person's Form 3, dated April 11, 2012, was underreported by 37 warrants (after giving effect to the Company's 37 for 1 stock split in March 2012) due to a clerical error.
These warrants expire upon the earlier of five years from the initial issuance, 2.5 years after the consummation of an initial public offering of the Company's common stock or upon the occurrence of certain other events described in the Warrant Agreement pursuant to which the warrants were issued.
Upon exercise, the warrants are converted into common stock in accordance with a formula provided in the Warrant Agreement. No payment of an exercise price is required in connection with the exercise of the warrants.
/s/ C. Christopher Gaut by John C. Ivascu as Attorney-in- Fact
2014-05-15