0000899243-23-015548.txt : 20230614 0000899243-23-015548.hdr.sgml : 20230614 20230614175151 ACCESSION NUMBER: 0000899243-23-015548 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230609 FILED AS OF DATE: 20230614 DATE AS OF CHANGE: 20230614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wilks Matthew CENTRAL INDEX KEY: 0001696102 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 231015309 MAIL ADDRESS: STREET 1: 17010 IH-20 CITY: CISCO STATE: TX ZIP: 76437 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: 8846 N. SAM HOUSTON PARKWAY W. CITY: HOUSTON STATE: TX ZIP: 77064 BUSINESS PHONE: 7138499911 MAIL ADDRESS: STREET 1: 8846 N. SAM HOUSTON PARKWAY W. CITY: HOUSTON STATE: TX ZIP: 77064 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-06-09 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001696102 Wilks Matthew 17018 INTERSTATE 20 CISCO TX 76437 1 0 0 0 0 Class A common stock, par value $0.01 per share 2023-06-12 4 P 0 81345 0.76 A 124402 I By THRC Holdings, LP Class A common stock, par value $0.01 per share 2023-06-13 4 P 0 56767 0.80 A 181169 I By THRC Holdings, LP The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $0.74 to $0.78 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Matt Wilks, as VP - Investments of THRC Holdings, LP, may be deemed to exercise voting and investment power over the shares of the Issuer's Class A common stock directly owned by THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), and therefore may be deemed to beneficially own such shares. THRC Holdings, directly holds the securities of the Issuer. THRC Management, LLC, a Texas limited liability company ("THRC Management"), as General Partner of THRC Holdings, has exclusive voting and investment control over the shares of the Issuer's Class A common stock held by THRC Holdings, and therefore may be deemed to beneficially own such shares. Dan Wilks, as sole manager of THRC Management, may be deemed to exercise voting and investment power over the shares of the Issuer's Class A common stock directly owned by THRC Holdings, and therefore may be deemed to beneficially own such shares. (Continued from Footnote 2) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. As reported in a Schedule 13D/A filed June 5, 2023 ("ProFrac 13D"), THRC Holdings owns (i) 70,849,573 shares of Class A Common Stock of ProFrac Holding Corp. ("ProFrac") and (ii) warrants to purchase 42,744 shares of Class A Common Stock of Profrac and may be deemed to beneficially own an additional 61,480,231 shares of Class A Common Stock of ProFrac which are held directly by other members of the applicable Section 13D group (as it relates to the ProFrac 13D). In the aggregate, members of such Section 13D group (as it relates to the ProFrac 13D) beneficially own 83.2% of the outstanding shares of Profrac. ProFrac may be deemed to hold 88,904,715 shares of the Issuer's Class A common stock, representing 50.64% of the outstanding shares of the Issuer's Class A common stock, as reported in the Issuer's proxy statement filed April 28, 2023. Mr. Wilks is also the Executive Chairman of the Board of Directors of Profrac. The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $0.79 to $0.80 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Matt Wilks, /s/ [Javier Rocha, Attorney-in-Fact] 2023-06-14