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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock | $ 13.805 | 03/13/2008 | 03/12/2013 | Common Stock | 15,348 | 15,348 | D | ||||||||
Common Stock | $ 22.75 | 03/28/2009 | 03/27/2014 | Common Stock | 8,680 | 24,028 | D | ||||||||
Common Stock | $ 22.75 | 08/09/2009 | 08/08/2014 | Common Stock | 7,724 | 31,752 | D | ||||||||
Common Stock | $ 2.51 | 02/16/2010 | 02/15/2015 | Common Stock | 40,742 | 72,494 | D | ||||||||
Common Stock | $ 9.19 | 04/08/2012 | 04/07/2017 | Common Stock | 200,000 | 272,494 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
REEVES STEVEN A 2930 W. SAM HOUSTON PKWY. N STE. 300 HOUSTON, TX 77043 |
Exec. VP, Operations |
/s/ Steven A. Reeves | 09/05/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person acquired shares of Flotek Common Stock under the Flotek 401-K Plan. The information is based upon a plan statement dated August 21, 2012. |
Remarks: To accurately reflect shares surrender for taxes and respective price. All other items previously reported remain unchanged. Aug 23, 2012 {To report a disposition via a bonafide gift of 2,500 shares. Additionally, to report common stock shares surrender in order to satisfy tax obligation required upon the vesting of a previously granted restricted stock award. Also, to update shares owned via participation in the Company's 401K Plan.} |