Nierenberg David's Form 4 filing
Flotek Industries Inc (FTK) · filed Feb 4, 2022
- Accession no.
- 0000928054-22-000012
- Filed
- Feb 4, 2022, 4:14 PM ET
- Trade date
- Feb 2, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 derivative transactions. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Nierenberg DavidCIK 0001040899 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2022 | Common Shares | PPurchaseAcquired | +1,278,576 | $0.8705 | +$1,113,000.41 | – | Indirect | |
| Feb 2, 2022 | Common Shares | PPurchaseAcquired | +2,072,946 | $0.8705 | +$1,804,500.36 | – | Indirect | |
| Feb 2, 2022 | Common Shares | PPurchaseAcquired | +94,773 | $0.8705 | +$82,499.9 | – | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Act"), the filing of this Form 4 shall not be deemed an admission by any person reporting on this Form 4 that such person, for purposes of Section 16 of the Act or otherwise, is the beneficial owner of any equity securities covered by this Form