0001181431-14-034254.txt : 20141016 0001181431-14-034254.hdr.sgml : 20141016 20141014172041 ACCESSION NUMBER: 0001181431-14-034254 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141013 FILED AS OF DATE: 20141014 DATE AS OF CHANGE: 20141014 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FLOTEK INDUSTRIES INC/CN/ CENTRAL INDEX KEY: 0000928054 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS CHEMICAL PRODUCTS [2890] IRS NUMBER: 900023731 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2930 W. SAM HOUSTON PARKWAY N STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77043 BUSINESS PHONE: 7138499911 MAIL ADDRESS: STREET 1: 2930 W. SAM HOUSTON PARKWAY N STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77043 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hardy Carla S. CENTRAL INDEX KEY: 0001576961 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 141155864 MAIL ADDRESS: STREET 1: 10603 W. SAM HOUSTON PKWY N. STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77043 4 1 rrd417583.xml DISPOSITION OF 55,000 COMMON SHARES IN REV. TRUST AND 49,000 COMMON SHARES IN GRAT PURSUANT TO A RULE 10B5-1 TRADING PLAN, AT AVERAGE PRICES OF $20.3610 AND $20.3595, RESPECTIVELY, AND CHARITABLE DONATION OF 6,700 SHARES AND 11,000 SHARES FROM REV TRUST X0306 4 2014-10-13 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001576961 Hardy Carla S. 10603 W. SAM HOUSTON PKWY N. SUITE 300 HOUSTON TX 77064 1 0 0 0 Common Stock 2014-05-28 4 G 0 11000 0.00 D 296639 I By Carla Schulz Hardy Revocable Trust Common Stock 2014-09-09 4 G 0 6700 0.00 D 289939 I By Carla Schulz Hardy Revocable Trust Common Stock 2014-10-13 4 S 0 55000 20.361 D 234939 I By Carla Schulz Hardy Revocable Trust Common Stock 2014-10-13 4 S 0 49000 20.3595 D 200021 I By Carla S. Hardy Grantor Retained Annuity Trust Common Stock 11244 D 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. Disposition of 55,000 common shares in Rev. Trust and 49,000 common shares in GRAT pursuant to a Rule 10b5-1 Trading Plan, at average prices of $20.3610 and $20.3595, respectively /s/Carla Schultz Hardy 2014-10-14