FLOTEK INDUSTRIES INC/CN/ — Director's Dealing 2021

Apr 21, 2021

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: Silas James A (SVP Research and Innovation)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-04-19	Common Stock	A	118750	—	Acquired	373012	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-04-19	Stock Option	$1.44	A	89063	Acquired	2031-04-19	Common Stock (89063.0)	Direct
2021-04-19	Stock Option	$1.44	A	89063	Acquired	2031-04-19	Common Stock (89063.0)	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.