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FLOTEK INDUSTRIES INC/CN/

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5092
SEC CIK
0000928054
Parsed reports
325

Last 12 months

Inside the activity.

1 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202601
Mar 202600
Apr 202600
May 202601
Jun 202600
Jul 202600
Aug 202600
Sep 202611
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 24, 2019 Filed Jun 11, 2019 22:48 UTC Amendment GrantCommon Stock 66,449 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000070 · wf-form4a_156029327247755.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,772

F1 · shares: Award grant of 66,449 shares which vest at the next annual stockholders' meeting.

F2 · ownership.direct: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

F3 · ownership.direct: The reporting person is the sole owner of the general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP and Haredale Ltd. (collectively, the "Funds"). Pursuant to separate contractual arrangements with each Fund, the reporting person is required to transfer all shares that he is awarded for service as a director of the Company to the respective Funds upon vesting of the shares. The reporting person's pecuniary interest in the shares is dictated by his contractual arrangements with the Funds.

Read SEC document
May 20, 2019 Filed May 22, 2019 20:47 UTC
WILKINSON ELIZABETH TChief Financial Officer
GrantCommon Stock 47,250 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000041 · wf-form4_155855803492309.xml · nonDerivative · entry 1

WILKINSON ELIZABETH T · CIK 0001206267 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,250

F1 · shares: Acquisition of 47,250 shares from the 2019 Performance Bonus Plan at the closing price of $3.31 on March 20, 2019.

Read SEC document
May 20, 2019 Filed May 22, 2019 20:47 UTC
York William HChief Administrative Officer
GrantCommon Stock 41,850 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000040 · wf-form4_155855800617640.xml · nonDerivative · entry 1

York William H · CIK 0001771624 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,525

F1 · shares: Acquisition of 41,850 shares from the 2019 Performance Bonus Plan at the closing price of $3.31 on March 20, 2019.

Read SEC document
May 20, 2019 Filed May 22, 2019 20:46 UTC
Silas James ASVP Research and Innovation
GrantCommon Stock 38,475 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000038 · wf-form4_155855793227246.xml · nonDerivative · entry 1

Silas James A · CIK 0001771630 · SVP Research and Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,504

F1 · shares: Acquisition of 38,475 shares from the 2019 Performance Bonus Plan at the closing price of $3.31 on March 20, 2019.

Read SEC document
May 20, 2019 Filed May 22, 2019 20:46 UTC
CHISHOLM JOHNDirector · Chairman, President and CEO
GrantCommon Stock 123,750 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000039 · wf-form4_155855797793993.xml · nonDerivative · entry 1

CHISHOLM JOHN · CIK 0001173236 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,227,478

F1 · shares: Acquisition of 123,750 shares from the 2019 Performance Bonus Plan at the closing price of $3.31 on March 20, 2019.

Read SEC document
March 20, 2019 Filed Mar 22, 2019 20:19 UTC
HOBBY PAUL WDirector
GrantCommon Stock 36,037 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000022 · wf-form4_155328595714705.xml · nonDerivative · entry 1

HOBBY PAUL W · CIK 0001092063 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,037

F1 · shares: Award grant of 36,037 shares based on a closing price of $3.33 per share on March 20, 2019 which vest at the 2020 annual stockholders' meeting.

Read SEC document
March 16, 2019 Filed Mar 19, 2019 21:06 UTC
CHISHOLM JOHNDirector · Chairman, President and CEO
Tax withholdingCommon Stock 9,563 $3.23 $30,888.49
Disclosure

SEC source: 0000928054-19-000018 · wf-form4_155302866532096.xml · nonDerivative · entry 1

CHISHOLM JOHN · CIK 0001173236 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,103,728

F1 · shares: Disposition of 9,563 shares at $3.23/share for tax obligation relative to previously granted award vesting on 3/16/2019.

Read SEC document
December 31, 2018 Filed Jan 3, 2019 21:48 UTC
Walton H. RichardChief Accounting Officer
Disposition to issuerCommon Stock 31,876 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000013 · wf-form4_154655207080464.xml · nonDerivative · entry 1

Walton H. Richard · CIK 0001567998 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,671

F1 · shares: Forfeiture of shares that had not vested upon separation.

Read SEC document
December 31, 2018 Filed Jan 3, 2019 21:46 UTC
SNIVELY JOSHUA AEVP Operations
Tax withholdingCommon Stock 17,023 $1.09 $18,555.07
Disclosure

SEC source: 0000928054-19-000011 · wf-form4_154655199162686.xml · nonDerivative · entry 1

SNIVELY JOSHUA A · CIK 0001548622 · EVP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,858

F1 · shares: Disposition of 17,023 shares at $1.09/share for tax obligation relative to previously granted awards vesting on 12/31/2018.

Read SEC document
December 31, 2018 Filed Jan 3, 2019 21:47 UTC
Marietta Matthew BEVP Finance & Corp Development
Disposition to issuerCommon Stock 56,750 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000012 · wf-form4_154655203305962.xml · nonDerivative · entry 2

Marietta Matthew B · CIK 0001734922 · EVP Finance & Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,315

F2 · shares: Forfeiture of shares that had not vested upon separation.

Read SEC document
December 31, 2018 Filed Jan 3, 2019 21:47 UTC
Marietta Matthew BEVP Finance & Corp Development
Tax withholdingCommon Stock 6,910 $1.09 $7,531.90
Disclosure

SEC source: 0000928054-19-000012 · wf-form4_154655203305962.xml · nonDerivative · entry 1

Marietta Matthew B · CIK 0001734922 · EVP Finance & Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,065

F1 · shares: Disposition of 6,910 shares at $1.09/share for tax obligation relative to previously granted awards vesting on 12/31/2018.

Read SEC document
December 31, 2018 Filed Jan 3, 2019 21:46 UTC
CHISHOLM JOHNDirector · Chairman, President and CEO
Tax withholdingCommon Stock 44,935 $1.09 $48,979.15
Disclosure

SEC source: 0000928054-19-000010 · wf-form4_154655195347706.xml · nonDerivative · entry 1

CHISHOLM JOHN · CIK 0001173236 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,291

F1 · shares: Disposition of 44,935 shares at $1.09/share for tax obligation relative to previously granted award vesting on 12/31/2018.

Read SEC document
December 28, 2018 Filed Jan 2, 2019 22:18 UTC
WILKINSON ELIZABETH TChief Financial Officer
GrantCommon Stock 60,000 $1.06 $63,600.00
Disclosure

SEC source: 0000928054-19-000004 · wf-form4_154646748260106.xml · nonDerivative · entry 1

WILKINSON ELIZABETH T · CIK 0001206267 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F1 · shares: Award grant of 60,000 shares at $1.06 per share which vest ratably on December 31, 2019 and 2020.

Read SEC document
July 11, 2018 Filed Jul 25, 2018 20:14 UTC GrantCommon Stock 40,850 $0.00 $0.00
Disclosure

SEC source: 0000928054-18-000073 · wf-form4_153254964445532.xml · nonDerivative · entry 1

Richard Katherine T. · CIK 0001577595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,850

F1 · shares: Award grant of 40,580 shares which vest on the date of the next annual stockholders' meeting.

Read SEC document
June 01, 2018 Filed Jun 5, 2018 20:08 UTC GrantCommon Stock 40,323 $0.00 $0.00
Disclosure

SEC source: 0000928054-18-000062 · wf-form4_152822928488183.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,323

F1 · shares: Award grant of 40,323 shares which vest on the date of the next annual stockholders' meeting.

Read SEC document
June 01, 2018 Filed Jun 11, 2019 22:48 UTC Amendment GrantCommon Stock 40,323 $0.00 $0.00
Disclosure

SEC source: 0000928054-19-000071 · wf-form4a_156029329140603.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,323

F1 · shares: Award grant of 40,323 shares which vest at the next annual stockholders' meeting.

F2 · ownership.direct: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

F3 · ownership.direct: The reporting person is the sole owner of the general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP and Haredale Ltd. (collectively, the "Funds"). Pursuant to separate contractual arrangements with each Fund, the reporting person is required to transfer all shares that he is awarded for service as a director of the Company to the respective Funds upon vesting of the shares. The reporting person's pecuniary interest in the shares is dictated by his contractual arrangements with the Funds.

Read SEC document
May 16, 2018 Filed May 16, 2018 22:27 UTC Amendment
SNIVELY JOSHUA AEVP Operations
PurchaseCommon Stock 4,450 $3.41 $15,162.49
Disclosure

SEC source: 0000928054-18-000058 · wf-form4a_152650957076457.xml · nonDerivative · entry 2

SNIVELY JOSHUA A · CIK 0001548622 · EVP Operations

10b5-1 filing: Not disclosed

Ownership: Indirect · By Joshua A. Snively, Sr. Irrevocable Trust

Disclosed balance after: 133,366

Read SEC document
May 16, 2018 Filed May 16, 2018 21:29 UTC
SNIVELY JOSHUA AEVP Operations
PurchaseCommon Stock 4,450 $3.41 $15,162.49
Disclosure

SEC source: 0000928054-18-000055 · wf-form4_152650613476457.xml · nonDerivative · entry 2

SNIVELY JOSHUA A · CIK 0001548622 · EVP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,097

F2 · shares: Acquisition of 4,450 shares on the open market at a weighted average price per share of $3.4073.

Read SEC document
May 16, 2018 Filed May 16, 2018 21:28 UTC
Walton H. RichardChief Accounting Officer
PurchaseCommon Stock 20,000 $3.38 $67,684.00
Disclosure

SEC source: 0000928054-18-000053 · wf-form4_152650605767108.xml · nonDerivative · entry 1

Walton H. Richard · CIK 0001567998 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,547

F1 · shares: Acquisition of 20,000 shares on the open market at a weighted average price per share of $3.3842.

Read SEC document
May 15, 2018 Filed May 16, 2018 22:27 UTC Amendment
SNIVELY JOSHUA AEVP Operations
PurchaseCommon Stock 5,766 $3.40 $19,624.58
Disclosure

SEC source: 0000928054-18-000058 · wf-form4a_152650957076457.xml · nonDerivative · entry 1

SNIVELY JOSHUA A · CIK 0001548622 · EVP Operations

10b5-1 filing: Not disclosed

Ownership: Indirect · By Joshua A. Snively, Sr. and Heather B. Snively Revocable Trust

Disclosed balance after: 138,269

Read SEC document
May 15, 2018 Filed May 16, 2018 21:30 UTC
CHISHOLM JOHNDirector · Chairman, President and CEO
PurchaseCommon Stock 33,600 $3.41 $114,552.48
Disclosure

SEC source: 0000928054-18-000056 · wf-form4_152650619472864.xml · nonDerivative · entry 1

CHISHOLM JOHN · CIK 0001173236 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,158,226

F1 · shares: Acquisition of 33,600 shares on the open market at a weighted average price per share of $3.4093.

Read SEC document
May 15, 2018 Filed May 16, 2018 21:29 UTC
SNIVELY JOSHUA AEVP Operations
PurchaseCommon Stock 5,766 $3.40 $19,624.58
Disclosure

SEC source: 0000928054-18-000055 · wf-form4_152650613476457.xml · nonDerivative · entry 1

SNIVELY JOSHUA A · CIK 0001548622 · EVP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,647

F1 · shares: Acquisition of 5,766 shares on the open market at a weighted average price per share of $3.4035.

Read SEC document
May 15, 2018 Filed May 16, 2018 21:28 UTC
Marietta Matthew BEVP Finance & Corp Development
PurchaseCommon Stock 6,850 $3.36 $22,987.23
Disclosure

SEC source: 0000928054-18-000054 · wf-form4_152650611869474.xml · nonDerivative · entry 1

Marietta Matthew B · CIK 0001734922 · EVP Finance & Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,975

F1 · shares: Acquisition of 6,850 shares on the open market at a weighted average price per share of $3.3558.

Read SEC document
April 27, 2018 Filed May 1, 2018 20:27 UTC
Hern KennethDirector
GrantCommon Sotck 33,423 $3.74 $125,002.02
Disclosure

SEC source: 0000928054-18-000046 · wf-form4_152520645023401.xml · nonDerivative · entry 1

Hern Kenneth · CIK 0001358660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,880

F1 · shares: Award grant of 33,423 shares at $3.74 per share which vest at the next annual stockholders' meeting.

Read SEC document
April 27, 2018 Filed May 1, 2018 20:26 UTC GrantCommon Sotck 33,423 $3.74 $125,002.02
Disclosure

SEC source: 0000928054-18-000044 · wf-form4_152520637830405.xml · nonDerivative · entry 1

Adams Michelle M · CIK 0001697269 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,512

F1 · shares: Award grant of 33,423 shares at $3.74 per share which vest at the next annual stockholders' meeting.

Read SEC document
April 27, 2018 Filed May 1, 2018 20:27 UTC
Brown Ted DDirector
GrantCommon Sotck 33,423 $3.74 $125,002.02
Disclosure

SEC source: 0000928054-18-000045 · wf-form4_152520639728879.xml · nonDerivative · entry 1

Brown Ted D · CIK 0001297978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,649

F1 · shares: Award grant of 33,423 shares at $3.74 per share which vest at the next annual stockholders' meeting.

Read SEC document
April 27, 2018 Filed May 1, 2018 20:26 UTC
McGuire LVDirector
GrantCommon Sotck 33,423 $3.74 $125,002.02
Disclosure

SEC source: 0000928054-18-000043 · wf-form4_152520636128876.xml · nonDerivative · entry 1

McGuire LV · CIK 0001499794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,216

F1 · shares: Award grant of 33,423 shares at $3.74 per share which vest at the next annual stockholders' meeting.

Read SEC document
April 27, 2018 Filed May 1, 2018 20:25 UTC GrantCommon Sotck 33,423 $3.74 $125,002.02
Disclosure

SEC source: 0000928054-18-000042 · wf-form4_152520629726596.xml · nonDerivative · entry 1

Cooper L Melvin · CIK 0001505460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,868

F1 · shares: Award grant of 33,423 shares at $3.74 per share which vest at the next annual stockholders' meeting.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 20:39 UTC
CHISHOLM JOHNDirector · Chairman, President and CEO
GrantCommon Stock 96,750 $6.13 $593,077.50
Disclosure

SEC source: 0000928054-18-000030 · wf-form4_152157831169083.xml · nonDerivative · entry 1

CHISHOLM JOHN · CIK 0001173236 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,124,626

F1 · shares: Acquisition of 96,750 shares from the 2018 Performance Bonus Plan at the closing price of $6.13 per share.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 20:38 UTC
Walton H. RichardChief Accounting Officer
GrantCommon Stock 25,313 $6.13 $155,168.69
Disclosure

SEC source: 0000928054-18-000029 · wf-form4_152157829435863.xml · nonDerivative · entry 2

Walton H. Richard · CIK 0001567998 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,547

F2 · shares: Acquisition of 25,313 shares from the 2018 Performance Bonus Plan at the closing price of $6.13 per share.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 20:38 UTC
Walton H. RichardChief Accounting Officer
GrantCommon Stock 30,000 $6.13 $183,900.00
Disclosure

SEC source: 0000928054-18-000029 · wf-form4_152157829435863.xml · nonDerivative · entry 1

Walton H. Richard · CIK 0001567998 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,234

F1 · shares: Award grant of 30,000 shares at $6.13 per share which vest ratably on December 31, 2018 and 2019.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 20:38 UTC
Marietta Matthew BEVP Finance & Corp Development
GrantCommon Sotck 25,125 $6.13 $154,016.25
Disclosure

SEC source: 0000928054-18-000028 · wf-form4_152157825986219.xml · nonDerivative · entry 2

Marietta Matthew B · CIK 0001734922 · EVP Finance & Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,125

F2 · shares: Acquisition of 25,125 shares from the 2018 Performance Bonus Plan at the closing price of $6.13 per share.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 20:38 UTC
Marietta Matthew BEVP Finance & Corp Development
GrantCommon Sotck 60,000 $6.13 $367,800.00
Disclosure

SEC source: 0000928054-18-000028 · wf-form4_152157825986219.xml · nonDerivative · entry 1

Marietta Matthew B · CIK 0001734922 · EVP Finance & Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,000

F1 · shares: Award grant of 60,000 shares at $6.13 per share which vest ratably on December 31, 2018, 2019, and 2020.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 20:37 UTC
SNIVELY JOSHUA AEVP Operations
GrantCommon Stock 49,000 $6.13 $300,370.00
Disclosure

SEC source: 0000928054-18-000027 · wf-form4_152157822404505.xml · nonDerivative · entry 2

SNIVELY JOSHUA A · CIK 0001548622 · EVP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,881

F2 · shares: Acquisition of 49,000 shares from the 2018 Performance Bonus Plan at the closing price of $6.13 per share.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 20:37 UTC
SNIVELY JOSHUA AEVP Operations
GrantCommon Stock 75,000 $6.13 $459,750.00
Disclosure

SEC source: 0000928054-18-000027 · wf-form4_152157822404505.xml · nonDerivative · entry 1

SNIVELY JOSHUA A · CIK 0001548622 · EVP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,881

F1 · shares: Award grant of 75,000 shares at $6.13 per share which vest ratably on December 31, 2018, 2019, and 2020.

Read SEC document
January 16, 2018 Filed Jan 30, 2018 21:54 UTC GrantCommon Stock 36,667 $5.85 $214,501.95
Disclosure

SEC source: 0000928054-18-000012 · wf-form4_151734925193407.xml · nonDerivative · entry 1

Walton H. Richard · CIK 0001567998 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,234

F1 · shares: Acquisition of 36,667 shares from 2016 Performance Bonus Plan awarded January 16, 2018 at the closing price of $5.85 per share.

Read SEC document
January 16, 2018 Filed Jan 30, 2018 21:54 UTC
SNIVELY JOSHUA AEVP Chemistry Research
GrantCommon Stock 44,904 $5.85 $262,688.40
Disclosure

SEC source: 0000928054-18-000011 · wf-form4_151734923568788.xml · nonDerivative · entry 1

SNIVELY JOSHUA A · CIK 0001548622 · EVP Chemistry Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,881

F1 · shares: Acquisition of 44,904 shares from 2016 Performance Bonus Plan awarded January 16, 2018 at the closing price of $5.85 per share.

Read SEC document
January 16, 2018 Filed Jan 30, 2018 21:53 UTC
CHISHOLM JOHNDirector · Chairman, President and CEO
GrantCommon Stock 170,834 $5.85 $999,378.90
Disclosure

SEC source: 0000928054-18-000010 · wf-form4_151734921830009.xml · nonDerivative · entry 1

CHISHOLM JOHN · CIK 0001173236 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,027,876

F1 · shares: Acquisition of 170,834 shares from 2016 Performance Bonus Plan awarded January 16, 2018 at the closing price of $5.85 per share.

Read SEC document
December 31, 2017 Filed Jan 3, 2018 22:32 UTC
CHISHOLM JOHNDirector · Chairman, President and CEO
Tax withholdingCommon Stock 24,181 $4.66 $112,683.46
Disclosure

SEC source: 0000928054-18-000004 · wf-form4_151501872313386.xml · nonDerivative · entry 1

CHISHOLM JOHN · CIK 0001173236 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 857,042

F1 · shares: Disposition of 24,181 shares at $4.66/share for tax obligation relative to previously granted award vesting on 12/31/2017.

Read SEC document
December 31, 2017 Filed Jan 3, 2018 22:31 UTC
SNIVELY JOSHUA AEVP Chemistry Research
Tax withholdingCommon Stock 9,373 $4.66 $43,678.18
Disclosure

SEC source: 0000928054-18-000002 · wf-form4_151501865898934.xml · nonDerivative · entry 1

SNIVELY JOSHUA A · CIK 0001548622 · EVP Chemistry Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,977

F1 · shares: Disposition of 9,373 shares at $4.66/share for tax obligation relative to previously granted award vesting on 12/31/2017.

Read SEC document
December 31, 2017 Filed Feb 13, 2018 00:05 UTC Amendment OtherCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000928054-18-000016 · wf-form5a_151848030200423.xml · nonDerivative · entry 1

Hardy Carla S. · CIK 0001576961 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By William M. Hardy V Irrevocable Trust

Disclosed balance after: 0

F1 · balance_after: Ms. Hardy has previously reported a beneficial interest in shares of common stock of the Company held by an irrevocable trust for the benefit of a dependent child. This child is no longer a dependent of Ms. Hardy and, as a result, Ms. Hardy no longer has any beneficial interest in the shares of common stock of the Company owned by the trust and such shares are no longer included herein.

F1 · ownership.nature: Ms. Hardy has previously reported a beneficial interest in shares of common stock of the Company held by an irrevocable trust for the benefit of a dependent child. This child is no longer a dependent of Ms. Hardy and, as a result, Ms. Hardy no longer has any beneficial interest in the shares of common stock of the Company owned by the trust and such shares are no longer included herein.

Read SEC document
September 21, 2017 Filed Oct 3, 2017 20:38 UTC
Bodnar Robert CExecutive Vice President
Tax withholdingCommon Stock 5,823 $5.29 $30,803.67
Disclosure

SEC source: 0000928054-17-000098 · wf-form4_150706310812626.xml · nonDerivative · entry 1

Bodnar Robert C · CIK 0001689733 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,955

F1 · shares: Disposition of 5,823 shares at $5.29/share for tax obligation relative to previously granted award vesting on 9/21/2017.

Read SEC document
September 13, 2017 Filed Sep 14, 2017 20:09 UTC
Hern KennethDirector
PurchaseCommon Stock 1,000 $5.46 $5,455.00
Disclosure

SEC source: 0000928054-17-000090 · wf-form4_150541977505291.xml · nonDerivative · entry 1

Hern Kenneth · CIK 0001358660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,457

F1 · shares: Purchase of 1,000 shares on the open market at an average price of $5.455 per share.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 20:10 UTC
REEVES STEVEN AExec. VP, Operations
Tax withholdingCommon Stock 43,828 $8.94 $391,822.32
Disclosure

SEC source: 0000928054-17-000082 · wf-form4_149928539378612.xml · nonDerivative · entry 1

REEVES STEVEN A · CIK 0001434793 · Exec. VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,016

F1 · shares: Disposition of 43,828 shares at $8.94/share for tax obligation relative to previously granted awards vesting on 6/30/2017.

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May 18, 2017 Filed May 22, 2017 20:13 UTC Exercise / conversionStock Option · Derivative 9,047 $0.00 Strike: $8.29 $0.00
Disclosure

SEC source: 0000928054-17-000074 · wf-form4_149548399216585.xml · derivative · entry 3

Cooper L Melvin · CIK 0001505460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,047 shares

Expires 2017-05-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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May 18, 2017 Filed May 22, 2017 20:13 UTC Tax withholdingCommon Stock 7,716 $9.72 $74,999.52
Disclosure

SEC source: 0000928054-17-000074 · wf-form4_149548399216585.xml · nonDerivative · entry 2

Cooper L Melvin · CIK 0001505460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,445

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May 18, 2017 Filed May 22, 2017 20:13 UTC Exercise / conversionCommon Stock 9,047 $8.29 $74,999.63
Disclosure

SEC source: 0000928054-17-000074 · wf-form4_149548399216585.xml · nonDerivative · entry 1

Cooper L Melvin · CIK 0001505460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,161

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Exercise of stock options @ $8.29 per share, pursuant to previously awarded stock option grant.

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May 18, 2017 Filed May 22, 2017 20:13 UTC
McGuire LVDirector
Exercise / conversionStock Option · Derivative 9,047 $0.00 Strike: $8.29 $0.00
Disclosure

SEC source: 0000928054-17-000073 · wf-form4_149548397442230.xml · derivative · entry 3

McGuire LV · CIK 0001499794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,047 shares

Expires 2017-05-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 18, 2017 Filed May 22, 2017 20:13 UTC
McGuire LVDirector
Tax withholdingCommon Stock 7,716 $9.72 $74,999.52
Disclosure

SEC source: 0000928054-17-000073 · wf-form4_149548397442230.xml · nonDerivative · entry 2

McGuire LV · CIK 0001499794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,793

Read SEC document
May 18, 2017 Filed May 22, 2017 20:13 UTC
McGuire LVDirector
Exercise / conversionCommon Stock 9,047 $8.29 $74,999.63
Disclosure

SEC source: 0000928054-17-000073 · wf-form4_149548397442230.xml · nonDerivative · entry 1

McGuire LV · CIK 0001499794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,509

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Exercise of stock options @ $8.29 per share, pursuant to previously awarded stock option grant.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.