Flotek CFO sells shares after RSU award

Flotek Industries Chief Financial Officer James Bond reported a mix of compensation-related share activity and an open-market sale of common shares.

Rhea-AI Filing Summary

Flotek Industries Chief Financial Officer James Bond reported a mix of compensation-related share activity and an open-market sale of common shares. He received 8,097 common shares as a grant upon meeting performance criteria for performance-based restricted stock units previously granted on May 16, 2025. On the same date, 3,187 shares were withheld and disposed of to cover tax obligations. On May 18, 2026, he sold 12,554 common shares in an open-market transaction at a weighted average price of $20.08 per share, with individual trades ranging from $20.00 to $20.20. Following these transactions, he directly owns 115,324 common shares, which include 131 shares acquired under the 2012 Employee Stock Purchase Plan for the three-month period commencing January 1, 2026.

Insider Trade Summary

Net Seller: 12,554 shares

Net Sell 3 txns

Insider CLEMENT JAMES BOND

Role Chief Financial Officer

Sold 12,554 shs ($252K)

Type	Security	Shares	Price	Value
Sale	Common Shares	12,554	$20.08	$252K
Grant/Award	Common Shares	8,097	$0.00	$0.00
Exercise Price or Tax Liability	Common Shares	3,187	$19.61	$62K

Holdings After Transaction: Common Shares — 115,324 shares (Direct)

Footnotes (3)

1. F1. The shares were awarded to the reporting person upon the satisfaction of performance criteria for performance based restricted stock units previously granted on May 16, 2025.
2. F2. Includes 131 shares acquired under the 2012 Employee Stock Purchase Plan for the 3-month period commencing January 1, 2026. This transaction is exempt under both Rule 16b-3(d) and Rule 16b-3(c)
3. F3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.20, inclusive. The reporting person undertakes to provide to Flotek Industries, Inc. (the Company), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

Key Figures

Open-market sale: 12,554 shares at $20.08/share Price range: $20.00–$20.20 per share RSU-related grant: 8,097 shares at $0.00 +3 more

6 metrics

Open-market sale 12,554 shares at $20.08/share Common Shares sold on May 18, 2026; weighted average price

Price range $20.00–$20.20 per share Range of prices for the 12,554 shares sold

RSU-related grant 8,097 shares at $0.00 Common Shares awarded upon meeting performance criteria on May 15, 2026

Tax withholding shares 3,187 shares at $19.61/share Shares disposed of to satisfy tax liability on May 15, 2026

Post-transaction holdings 115,324 shares Directly owned common shares after transactions

ESPP shares included 131 shares Acquired under 2012 Employee Stock Purchase Plan for 3-month period from January 1, 2026

Key Terms

performance based restricted stock units, 2012 Employee Stock Purchase Plan, tax-withholding disposition, weighted average price, +1 more

5 terms

performance based restricted stock units financial

"performance based restricted stock units previously granted on May 16, 2025"

Performance-based restricted stock units are a form of employee pay where shares are promised but only delivered if the company meets specific performance targets over time. Like a trophy awarded to a team after hitting certain goals, they align employee incentives with business results and can affect future share counts and earnings—so investors watch them for signals about management’s motivation, potential dilution, and the likelihood of meeting growth or profit targets.

2012 Employee Stock Purchase Plan financial

"Includes 131 shares acquired under the 2012 Employee Stock Purchase Plan for the 3-month period"

tax-withholding disposition financial

"transaction_action": "tax-withholding disposition""

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

weighted average price financial

"The price reported in Column 4 is a weighted average price."

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

Rule 16b-3(d) regulatory

"This transaction is 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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did Flotek Industries (FTK) report for its CFO?

Flotek’s CFO reported a grant of 8,097 common shares, a tax-withholding disposal of 3,187 shares, and an open-market sale of 12,554 shares. These moves combine compensation, tax coverage, and partial share liquidation in a single Form 4 filing.

How many Flotek (FTK) shares did the CFO sell and at what price?

The CFO sold 12,554 Flotek common shares in the open market at a weighted average price of $20.08 per share. Individual trades occurred within a range of $20.00 to $20.20, as detailed in the Form 4 footnote disclosure.

What shares were granted to the Flotek (FTK) CFO in this Form 4?

The CFO received 8,097 common shares at no cost, awarded upon satisfying performance criteria linked to performance-based restricted stock units originally granted on May 16, 2025. This reflects equity compensation tied to previously established performance goals.

Why were 3,187 Flotek (FTK) shares disposed of by the CFO?

The 3,187 shares were disposed of to satisfy tax obligations related to equity compensation. This tax-withholding disposition uses shares instead of cash to cover the liability and is treated differently from an open-market sale in the Form 4.

How many Flotek (FTK) shares does the CFO own after these transactions?

After the reported grant, tax withholding, and sale, the CFO directly owns 115,324 Flotek common shares. This total includes 131 shares acquired through the 2012 Employee Stock Purchase Plan over a three-month period starting January 1, 2026.

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

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Accepted by SEC EDGAR 05/18/2026 - 05:25 PM Learn about SEC filing dates

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)
05/15/2026

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	05/15/2026		A		8,097(1)	A	$0	131,065(2)	D
Common Shares	05/15/2026		F		3,187	D	$19.61	127,878	D
Common Shares	05/18/2026		S		12,554	D	$20.08(3)	115,324	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. The shares were awarded to the reporting person upon the satisfaction of performance criteria for performance based restricted stock units previously granted on May 16, 2025.

2. Includes 131 shares acquired under the 2012 Employee Stock Purchase Plan for the 3-month period commencing January 1, 2026. This transaction is exempt under both Rule 16b-3(d) and Rule 16b-3(c)

3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.20, inclusive. The reporting person undertakes to provide to Flotek Industries, Inc. (the Company), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

Remarks:

	/s/ J. Bond Clement	05/18/2026
	** 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)