0000928054-21-000076.txt : 20210421 0000928054-21-000076.hdr.sgml : 20210421 20210421210419 ACCESSION NUMBER: 0000928054-21-000076 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210419 FILED AS OF DATE: 20210421 DATE AS OF CHANGE: 20210421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Borton Michael E. CENTRAL INDEX KEY: 0001817633 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 21842981 MAIL ADDRESS: STREET 1: 1368 SW 12 STREET CITY: BOCA RATON STATE: FL ZIP: 33486 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 wf-form4_161905344441687.xml FORM 4 X0306 4 2021-04-19 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001817633 Borton Michael E. 8846 N. SAM HOUSTON PARKWAY W. SUITE 150 HOUSTON TX 77064 0 1 0 0 Chief Financial Officer Common Shares 2021-04-19 4 A 0 188889 0 A 439730 D Stock Option 1.44 2021-04-19 4 A 0 141667 0 A 2031-04-19 Common Shares 141667.0 141667 D Stock Option 1.44 2021-04-19 4 A 0 141667 0 A 2031-04-19 Common Shares 141667.0 283334 D Restricted shares that vest ratably over four years from date of grant. Restricted options to purchase common stock. Options vest ratably at share prices of $3, $4, $5 and $7. Restricted options to purchase common stock. Options vest based on percentage of revenue from new products developed over a three-year period. Vesting is ratable at revenue percentages of 15%, 20% and 25%, and is determined on 12/31/24. /s/ Nicholas J. Bigney, attorney-in fact 2021-04-21