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