0000928054-23-000013.txt : 20230124 0000928054-23-000013.hdr.sgml : 20230124 20230124164638 ACCESSION NUMBER: 0000928054-23-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230120 FILED AS OF DATE: 20230124 DATE AS OF CHANGE: 20230124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nierenberg David CENTRAL INDEX KEY: 0001040899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13270 FILM NUMBER: 23548693 MAIL ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: NIERENBERG DAVID DATE OF NAME CHANGE: 19970611 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_167459678262563.xml FORM 4 X0306 4 2023-01-20 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001040899 Nierenberg David 8846 N. SAM HOUSTON PKWY W. HOUSTON TX 77064 1 0 0 0 Common Shares 2023-01-20 4 A 0 13179 0 A 178468 D Common Shares 247660 I By Haredale Ltd. Common Shares 2647383 I By The D3 Family Fund, LP Common Shares 4894730 I By The D3 Family Bulldog Fund, LP Shares reflect the prorated portion of Mr. Nierenberg's compensation for his appointment as chairman. Shares vest one year from date of grant. /s/ Nicholas J. Bigney, attorney-in-fact 2023-01-24