0000928054-23-000223.txt : 20231213 0000928054-23-000223.hdr.sgml : 20231213 20231213162907 ACCESSION NUMBER: 0000928054-23-000223 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231211 FILED AS OF DATE: 20231213 DATE AS OF CHANGE: 20231213 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: 231484337 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: 5775 N. SAM HOUSTON PARKWAY W. STREET 2: SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77086 BUSINESS PHONE: 7138499911 MAIL ADDRESS: STREET 1: 5775 N. SAM HOUSTON PARKWAY W. STREET 2: SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77086 4 1 wk-form4_1702502938.xml FORM 4 X0508 4 2023-12-11 0 0000928054 FLOTEK INDUSTRIES INC/CN/ FTK 0001040899 Nierenberg David 5775 N. SAM HOUSTON PARKWAY W. STE 400 HOUSTON TX 77086 1 0 0 0 0 Common Shares 2023-12-11 4 P 0 5254 3.19 A 411305 I By The D3 Family Fund, LP Common Shares 2023-12-11 4 P 0 3752 3.19 A 45029 I By Haredale Ltd. Common Shares 2023-12-12 4 P 0 4954 3.42 A 416259 I By The D3 Family Fund, LP Common Shares 2023-12-12 4 P 0 6923 3.42 A 732892 I By The D3 Family Bulldog Fund, LP Common Shares 2023-12-12 4 P 0 858 3.42 A 45887 I By Haredale Ltd. Common Shares 2023-12-13 4 P 0 11536 3.53 A 427795 I By The D3 Family Fund, LP Common Shares 2023-12-13 4 P 0 20310 3.53 A 753202 I By The D3 Family Bulldog Fund, LP Common Shares 2023-12-13 4 P 0 1272 3.53 A 47159 I By Haredale Ltd. Common Shares 69929 D The number of shares beneficially owned following the transactions have been adjusted to reflect the one for six reverse split of the common stock effective September 25, 2023. /s/ J. Bond Clement as attorney-in-fact 2023-12-13