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FLOTEK INDUSTRIES INC/CN/ — Director's Dealing 2021
Apr 21, 2021
32965_dirs_2021-04-21_38d1e4fc-7d6e-4c29-8c2b-29c8aaf050d8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: FLOTEK INDUSTRIES INC/CN/ (FTK)
CIK: 0000928054
Period of Report: 2021-04-19
Reporting Person: Koid TengBeng (President Global Business)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-19 | Common Shares | A | 194444 | — | Acquired | 411313 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-19 | Stock Option | $1.44 | A | 145834 | Acquired | 2031-04-19 | Common Shares (145834.0) | Direct |
| 2021-04-19 | Stock Option | $1.44 | A | 145834 | Acquired | 2031-04-19 | Common Shares (145834.0) | Direct |
| 2021-04-19 | Stock Option | $1.44 | A | 47917 | Acquired | 2031-04-19 | Common Shares (47917.0) | Direct |
Footnotes
F1: Restricted shares that vest ratably over four years from date of grant.
F2: Restricted options to purchase common stock. Options vest ratably at share prices of $3, $4, $5 and $7.
F3: 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.
F4: Restricted options to purchase common stock. 50% of options vest ratably at share prices of $2, $5, $7, and 50% vest based on performance against 2020 peers.