Form 4 for FTK FLOTEK INDUSTRIES INC/CN/
Accepted 2022-03-23 00:00:00 ET · period of report 2022-03-21 · accession 0000928054-22-000054 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-03-23 | 2022-03-21 | FTK | Nierenberg David | Dir | C - Cnv Deriv | $0.00 | +2.79M | 4.80M | +139% | $0 |
| DMI | 2022-03-23 | 2022-03-21 | FTK | Nierenberg David | Dir | C - Cnv Deriv | — | 0 | 0 | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Shares | 2022-03-21 | C | A | 1,036,214 | $0.00 | 2,595,383 | I By The D3 Family Fund, LP | — | — | (F1) Shares from conversion of convertible debt listed in Table II. |
| 2 | Common | Common Shares | 2022-03-21 | C | A | 76,808 | $0.00 | 242,656 | I By Haredale Ltd. | — | — | (F1) Shares from conversion of convertible debt listed in Table II. |
| 3 | Common | Common Shares | 2022-03-21 | C | A | 1,680,008 | $0.00 | 4,795,960 | I By The D3 Family Bulldog Fund, LP | — | — | (F1) Shares from conversion of convertible debt listed in Table II. |
| 4 | Derivative | Convertible Debt | 2022-03-21 | C | D | — | — | 0 | I D3 Family Fund, LP | $1.09 · 2022-02-02 to 2023-02-02 | — Common Shares | (F3) Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000 |
| 5 | Derivative | Convertible Debt | 2022-03-21 | C | D | — | — | 0 | I D3 Family Bulldog Fund, LP | $1.09 · 2022-02-02 to 2023-02-03 | — Common Shares | (F3) Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000 |
| 6 | Derivative | Convertible Debt | 2022-03-21 | C | D | — | — | 0 | I Haredale Limited | $1.09 · 2022-02-02 to 2023-02-02 | — Common Shares | (F3) Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000 |