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Flotek Industries Form 4 details CEO equity awards and PRSUs

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Flotek Industries (FTK) reported an equity compensation grant to its CEO and director on a Form 4. On 11/19/2025, the executive acquired 39,532 restricted stock units at a price of $0, bringing his directly held common shares to 207,238 after the transaction. These restricted stock units vest in three equal annual installments.

The executive was also granted 59,298 Performance Based Restricted Stock Units (PRSUs), each representing a contingent right to receive one share of common stock at $0. Up to half of the PRSUs may vest based on Flotek’s Adjusted EBITDA performance for the period from January 1, 2026 to December 31, 2026, with continued employment through December 31, 2027. The remaining half may vest depending on the company’s total shareholder return relative to the Russell 2000 Index–Oil Equipment and Services over a period from January 1, 2026 to December 31, 2027.

Positive

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Negative

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Insider Ezell Ryan Gillis
Role CEO
Type Security Shares Price Value
Grant/Award Performance Based Restricted Stock Unit 59,298 $0.00 --
Grant/Award Common Shares 39,532 $0.00 --
Holdings After Transaction: Performance Based Restricted Stock Unit — 59,298 shares (Direct); Common Shares — 207,238 shares (Direct)
Footnotes (1)
  1. Restricted stock units that vest in three equal annual installments. Each Performance Based Restricted Stock Unit ("PRSU") represents a contingent right to receive one share of Flotek Industries, Inc. common stock, subject to the following conditions. Up to half of the PRSUs will vest if, and to the extent, the Company's Adjusted EBITDA meets or exceeds certain thresholds during the performance period of January 1, 2026 to December 31, 2026, subject to continued employment through December 31, 2027. Up to half of the PRSUs will vest, if, and to the extent, the Company's total shareholder return relative to the Russell 2000 Index-Oil Equipment and Services, measured over a performance period from January 1, 2026 through December 31, 2027, meets or exceeds certain thresholds.
Form 4 Insider Transactions: What Each Field Means →
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*
Ezell Ryan Gillis
(Last) (First) (Middle)
5775 N. SAM HOUSTON PARKWAY W.
STE 400
(Street)
HOUSTON TX 77086
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
FLOTEK INDUSTRIES INC/CN/ [ FTK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CEO
3. Date of Earliest Transaction (Month/Day/Year)
11/19/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 11/19/2025 A 39,532(1) A $0 207,238 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
Performance Based Restricted Stock Unit (2) 11/19/2025 A 59,298 (2) (2) Common Stock 59,298 $0 59,298 D
Explanation of Responses:
1. Restricted stock units that vest in three equal annual installments.
2. Each Performance Based Restricted Stock Unit ("PRSU") represents a contingent right to receive one share of Flotek Industries, Inc. common stock, subject to the following conditions. Up to half of the PRSUs will vest if, and to the extent, the Company's Adjusted EBITDA meets or exceeds certain thresholds during the performance period of January 1, 2026 to December 31, 2026, subject to continued employment through December 31, 2027. Up to half of the PRSUs will vest, if, and to the extent, the Company's total shareholder return relative to the Russell 2000 Index-Oil Equipment and Services, measured over a performance period from January 1, 2026 through December 31, 2027, meets or exceeds certain thresholds.
Remarks:
/s/ J. Bond Clement as attorney-in-fact 11/21/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Flotek Industries (FTK) disclose in this Form 4 filing?

The filing shows that Flotek Industries’ CEO and director acquired 39,532 restricted stock units and 59,298 Performance Based Restricted Stock Units on 11/19/2025, both at a grant price of $0, as part of his equity compensation.

How many Flotek (FTK) common shares does the reporting person own after this transaction?

Following the reported transaction, the executive beneficially owns 207,238 shares of Flotek Industries common stock in direct ownership.

How do the 39,532 restricted stock units for Floteks CEO vest?

The 39,532 restricted stock units granted to the CEO vest in three equal annual installments, meaning the award is spread evenly over three years if continued service conditions are met.

What conditions apply to the 59,298 Performance Based Restricted Stock Units (PRSUs) at Flotek (FTK)?

Each of the 59,298 PRSUs is a right to receive one share of common stock. Up to half may vest if Floteks Adjusted EBITDA meets or exceeds certain thresholds during January 1, 2026 to December 31, 2026, with continued employment through December 31, 2027. The other half may vest based on the companys total shareholder return relative to the Russell 2000 IndexOil Equipment and Services from January 1, 2026 through December 31, 2027.

Is the Flotek (FTK) CEO transaction a purchase for cash or an equity award?

The transactions listed are equity awards rather than open-market purchases, with both the 39,532 restricted stock units and the 59,298 PRSUs granted at a stated price of $0 per unit.

What roles does the reporting person hold at Flotek Industries (FTK)?

The reporting person is identified as both a Director and an Officer, serving as CEO of Flotek Industries.