[144] Flotek Industries, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 filed for Flotek Industries (FTK) reports a proposed sale of 87,187 common shares with an aggregate market value of $1,101,171.81 to be executed on the NYSE on 08/14/2025 through APEX CLEARING.

The filing shows the shares were acquired by stock option exercises: 24,306 shares on 04/19/2021 and 62,881 shares on 12/05/2023. No securities were reported sold by the person in the past three months. The form includes the filer’s representation that they do not possess undisclosed material adverse information about the issuer. The filing does not disclose the name of the person for whose account the securities will be sold or the filer’s stated relationship to the issuer.

Insights

Financial Analyst

TL;DR Proposed sale is small relative to outstanding shares and is likely immaterial to company valuation.

The notice covers 87,187 shares with an aggregate market value of $1,101,171.81 against 29,860,000 shares outstanding. That quantity represents about 0.29% of outstanding common shares, indicating the transaction is modest in scale. The shares were obtained via stock option exercises in 2021 and 2023, and there are no reported sales in the prior three months. From a financial-impact perspective, the data in this form alone does not signal material dilution or a change in capital structure.

Corporate Governance Expert

TL;DR Disclosure is procedurally complete but provides limited context on the seller’s identity or relationship to the issuer.

The filing specifies broker details (APEX CLEARING) and acquisition origins (stock option exercises) and includes the standard representation about absent undisclosed material adverse information. However, the form as provided does not supply the name of the person on whose account the sale is to be made or the filer’s relationship to the issuer, limiting governance transparency. Based solely on the form content, the filing appears routine rather than a governance red flag.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	APEX CLEARING 350 N ST. PAUL ST SUITE 300 DALLAS TX 75201	87187	1101171.81	29860000	08/14/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	04/19/2021	Stock Option Exercise	Flotek Industries, Inc			24306	08/14/2025	NA
Common	12/05/2023	Stock Option Exercise	Flotek Industries, Inc			62881	08/14/2025	NA

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What quantity and value of Flotek (FTK) shares does the Form 144 report?

The form reports a proposed sale of 87,187 shares with an aggregate market value of $1,101,171.81.

When is the proposed sale of FTK shares scheduled and on which exchange?

The approximate date of sale is 08/14/2025 and the sale is to occur on the NYSE.

How were the shares being sold acquired according to the filing?

The shares were acquired by stock option exercises: 24,306 shares on 04/19/2021 and 62,881 shares on 12/05/2023.

Who is the broker handling the proposed FTK sale?

The broker listed is APEX CLEARING with address 350 N St. Paul St Suite 300, Dallas, TX 75201.

Does the filing disclose prior sales by the person in the past three months?

The filing states "Nothing to Report" for securities sold during the past three months.

Does the Form 144 identify the person for whose account the securities will be sold or their relationship to Flotek?

The content provided does not include the name of the person for whose account the securities are to be sold nor a stated relationship to the issuer.