Flotek Industries CFO delivers or withholds 3,935 shares

Flotek Industries (FTK) Chief Financial Officer James Bond Clement reported 3,935 common shares delivered or withheld for payment of exercise price or tax liability on October 30, 2026, at $25.35 per share.

Available on EDGAR 11/02/2026 - 04:15 PM EST Accepted by SEC EDGAR 11/02/2026 - 04:15 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Flotek Industries (FTK) Chief Financial Officer James Bond Clement reported 3,935 common shares delivered or withheld for payment of exercise price or tax liability on October 30, 2026, at $25.35 per share. His reported direct holdings after the transaction were 111,581 common shares. The reported holdings include 114 shares and 78 shares acquired under the 2012 Employee Stock Purchase Plan for three-month periods commencing April 1, 2026, and July 1, 2026, respectively.

Insider Trade Summary

Exercise Price or Tax Liability: 3,935 shares

Exercise Price or Tax Liability 1 txn

Insider CLEMENT JAMES BOND

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Shares F1	3,935	$25.35	$100K

Holdings After Transaction: Common Shares — 111,581 shares (Direct)

Footnotes (1)

1. F1. Includes 114 shares and 78 shares acquired under the 2012 Employee Stock Purchase Plan for the 3-month periods commencing April 1, 2026 and July 1, 2026, respectively. These transactions are exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Key Figures

Shares delivered or withheld: 3,935 common shares Price per share: $25.35 per share Direct holdings after transaction: 111,581 common shares +2 more

5 metrics

Shares delivered or withheld 3,935 common shares Reported on October 30, 2026, for payment of exercise price or tax liability

Price per share $25.35 per share Reported transaction on October 30, 2026

Direct holdings after transaction 111,581 common shares James Bond Clement's reported holdings after the October 30, 2026 transaction

Employee Stock Purchase Plan shares 114 shares Acquired for the three-month period commencing April 1, 2026

Employee Stock Purchase Plan shares 78 shares Acquired for the three-month period commencing July 1, 2026

Key Terms

2012 Employee Stock Purchase Plan, Rule 16b-3(d), Rule 16b-3(c), exercise price or tax liability

4 terms

2012 Employee Stock Purchase Plan financial

"acquired under the 2012 Employee Stock Purchase Plan"

Rule 16b-3(d) regulatory

"exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

Rule 16b-3(d) is a narrow SEC safe-harbor that shields company insiders (officers, directors and large shareholders) from liability for short‑swing profits when their buys or sells of company stock are made under a pre-established, written plan or contract that removes the insider’s ability to time trades. For investors, this matters because it permits predictable, automated insider transactions — like scheduled sales for diversification or payroll withholding — without triggering forced disgorgement, so such planned trades are treated differently from opportunistic insider trading.

Rule 16b-3(c) regulatory

"exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

An SEC rule that lets corporate insiders avoid automatic "short‑swing" profit recovery when they buy or sell their company’s stock under a pre‑approved, written plan that meets specific conditions. For investors, it matters because it clarifies when insider trades are treated as routine, reducing legal uncertainty and helping distinguish trades made for ordinary compensation or pre‑planned reasons from those that might signal opportunistic or timely insider advantage.

exercise price or tax liability financial

"payment of exercise price or tax liability by delivering or withholding securities"

FAQ

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How many FTK shares did CFO James Bond Clement report delivering or withholding?

James Bond Clement reported 3,935 common shares delivered or withheld on October 30, 2026, for payment of exercise price or tax liability, at $25.35 per share. His reported direct holdings after the transaction were 111,581 common shares.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

CLEMENT JAMES BOND

(Last) (First) (Middle)

5775 N. SAM HOUSTON PARKWAY W.

STE 400

(Street)

HOUSTON TEXAS 77086

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
FLOTEK INDUSTRIES INC/CN/ [ FTK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/30/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Shares	10/30/2026		F		3,935	D	$25.35	111,581(1)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Includes 114 shares and 78 shares acquired under the 2012 Employee Stock Purchase Plan for the 3-month periods commencing April 1, 2026 and July 1, 2026, respectively. These transactions are exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Remarks:

	/s/ J. Bond Clement	11/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)