Flotek Industries, Inc.
|
(Name of Issuer)
|
Common Stock, $0.0001 par value
|
(Title of Class of Securities)
|
343389102
|
(CUSIP Number)
|
Edward E. Murphy
c/o North Sound Management, Inc.
115 East Putnam Avenue
Greenwich, CT 06830
(203) 340-8306
|
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications) |
June 4, 2019
|
(Date of Event which Requires Filing of this Statement)
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 2 of 7
|
1
|
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
North Sound Management, Inc.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
o
(b) ☐
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
OO
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐ |
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
4,300,000
|
8
|
SHARED VOTING POWER
0
|
|
9
|
SOLE DISPOSITIVE POWER
4,300,000
|
|
10
|
SHARED DISPOSITIVE POWER
0
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,300,000
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o |
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.5%
|
|
14
|
TYPE OF REPORTING PERSON
IA, CO
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 3 of 7
|
1
|
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brian Miller
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
o
(b) ☐
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
OO
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐ |
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
4,300,000
|
8
|
SHARED VOTING POWER
0
|
|
9
|
SOLE DISPOSITIVE POWER
4,300,000
|
|
10
|
SHARED DISPOSITIVE POWER
0
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,300,000
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o |
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.5%
|
|
14
|
TYPE OF REPORTING PERSON
IN
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 4 of 7
|
1
|
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
North Sound Trading, LP
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
o
(b) ☐
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
OO
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐ |
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
4,300,000
|
8
|
SHARED VOTING POWER
0
|
|
9
|
SOLE DISPOSITIVE POWER
4,300,000
|
|
10
|
SHARED DISPOSITIVE POWER
0
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,300,000
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o |
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.5%
|
|
14
|
TYPE OF REPORTING PERSON
PN
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 5 of 7
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 6 of 7
|
Date
|
Shares Purchased
|
Price Per Share
|
5/13/2019
|
72,000
|
$3.36
|
5/14/2019
|
52,000
|
$3.56
|
5/14/2019
|
126,000
|
$3.55
|
5/15/2019
|
30,000
|
$3.50
|
5/16/2019
|
35,000
|
$3.48
|
5/20/2019
|
15,000
|
$3.31
|
5/21/2019
|
10,000
|
$3.37
|
5/23/2019
|
20,000
|
$3.08
|
5/24/2019
|
25,000
|
$3.13
|
5/28/2019
|
172,603
|
$3.20
|
5/29/2019
|
2,397
|
$3.06
|
6/4/2019
|
168,821
|
$3.44
|
6/4/2019
|
25,000
|
$3.53
|
6/5/2019
|
46,179
|
$3.40
|
CUSIP No. 343389102
|
SCHEDULE 13D |
Page 7 of 7
|
NORTH SOUND MANAGEMENT, INC.
|
||||
|
By:
|
/s/ Brian Miller | ||
Name: | Brian Miller | |||
Title: | President |
NORTH SOUND TRADING, LP
|
||||
By:
|
North Sound Management, Inc.,
its
general partner
|
|||
By: | /s/ Brian Miller | |||
Name: | Brian Miller | |||
Title: | President |
|
/s/ Brian Miller
|
|||
Brian Miller | ||||
NORTH SOUND MANAGEMENT, INC.
|
||||
|
By:
|
/s/ Brian Miller | ||
Name: | Brian Miller | |||
Title: | President |
NORTH SOUND TRADING, LP
|
||||
By:
|
North Sound Management, Inc.,
its
general partner
|
|||
By: | /s/ Brian Miller | |||
Name: | Brian Miller | |||
Title: | President |
|
/s/ Brian Miller
|
|||
Brian Miller | ||||