1 unchanged sentence
Number Description of Exhibit
−Removed: 2.1 Share Purchase Agreement, dated as of January 10, 2019, by and between the Company and ADM (portions of this exhibit have been omitted pursuant to a confidential treatment request, which has been granted) (incorporated by reference to Exhibit 2.1 to the Company’s Form 8-K filed on March 4, 2019) .
−Removed: 2.2 Membership Interest Purchase Agreement, dated as of May 18, 2020, by and between the Company, JP3 Measurement, LLC, the Sellers party thereto, and John A.
−Removed: Cardwell, as Seller Representative) (incorporated by reference to Exhibit 2.1 to the Company’s Form 8-K filed on May 19, 2020).
3.1 Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s Form 10-Q for the quarter ended September 30, 2007).
4 unchanged sentences
4.1 Form of Certificate of Common Stock (incorporated by reference to Appendix E to the Company’s Definitive Proxy Statement filed on September 27, 2001).
−Removed: 10.1 Employment Agreement dated October 15, 2021, between the Company and Michael Borton ( incorporate d by reference to Exhibit 10.1 to the Company’s Form 8-K on October 20, 2021.
−Removed: 10.2 Employment Agreement dated October 15, 2021, between the Company and TengBeng Koid (incorporated by reference to Exhibit 10.2 to the Company’s Form 8-K on October 20, 2021.
+Added: 4.2 Form of Convertible Note (incorporated by reference to Exhibit 4.1 to the Company’s Form 8-K filed on February 4, 2022).
+Added: 4.3 Form of Pre-Funded Warrant (incorporated by reference to Exhibit 4.2 to the Company’s Form 8-K filed on February 4, 2022).
+Added: 10.1 Note Purchase Agreement, dated February 2, 2022, by and among Flotek Industries, Inc.
+Added: and the Purchasers party thereto (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed on February 4, 2022).
+Added: 10.2 Registration Rights Agreement, dated February 2, 2022 by and among Flotek Industries, Inc.
+Added: and the Purchasers party thereto (incorporated by reference to Exhibit 10.2 to the Company’s Form 8-K filed on February 4, 2022).
+Added: 10.3 Chemical Products Supply Agreement between Flotek Chemistry, LLC and ProFrac Services, LLC, dated February 2, 2022 (incorporated by reference to Exhibit 10.3 to the Company’s Form 8-K filed on February 4, 2022).
+Added: 10.4 Master Transaction Agreement between Flotek Industries, Inc.
+Added: and ProFrac Holdings, LLC, dated February 2, 2022 (incorporated by reference to Exhibit 10.4 to the Company’s Form 8-K filed on February 4, 2022).
+Added: 10.5 *** Securities Purchase Agreement dated February 16, 2022 by and between Flotek Industries, Inc.
+Added: and ProFrac Holdings, LLC (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed on February 22, 2022).
31.1 * Rule 13a-14(a) Certification of Principal Executive Officer.
2 unchanged sentences
32.2 ** Section 1350 Certification of Principal Financial Officer.
−Removed: 101 * * The following financial information from Flotek Industries, Inc.’s Quarterly Report on Form 10-Q for the period ended September 30, 2021, formatted in Inline Extensible Business Reporting Language (iXBRL):
−Removed: (i) the Unaudited Condensed Consolidated Balance Sheets at September 30, 2021 and December 31, 2020, (ii) the Unaudited Condensed Consolidated Statements of Operations for the nine months ended September 30, 2021 and 2020, (iii) the Unaudited Condensed Consolidated Statements of Comprehensive Loss for the nine months ended September 30, 2021 and 2020, (iv) the Unaudited Condensed Consolidated Statements of Cash Flows for the nine months ended September 30, 2021 and 2020, (v) the Unaudited Condensed Consolidated Statements of Stockholders’ Equity for the nine months ended September 30, 2021 and 2020, and (vi) Notes to Condensed Consolidated Financial Statements.
+Added: 101.INS * Inline XBRL Instance Document - The instance document does not appear in the interactive data file because its XBRL tags are embedded within the inline XBRL document
+Added: 101.SCH * Inline XBRL Schema Document
+Added: 101.CAL * Inline XBRL Calculation Linkbase Document
+Added: 101.LAB * Inline XBRL Label Linkbase Document
+Added: 101.PRE * Inline XBRL Presentation Linkbase Document
+Added: 101.DEF * Inline XBRL Definition Linkbase Document
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
−Removed: * Filed herewith.
−Removed: ** This certification is deemed not filed for purposes of section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act.
+Added: * Filed with this Form 10-Q.
+Added: ** Furnished with this Form 10-Q, not filed.
*** Schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K.
−Removed: The Company undertakes to furnish supplemental copies of any of the omitted schedules upon request by the SEC.
−Removed: Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
−Removed: FLOTEK INDUSTRIES, INC.
−Removed: President, Chief Executive Officer and
−Removed: Chairman of the Board
−Removed: November 9, 2021
+Added: The Company hereby undertakes to furnish supplemental copies of any of the omitted schedules upon request by the U.S.
+Added: Securities and Exchange Commission or its staff.
+Added: Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
FLOTEK INDUSTRIES, INC.
+Added: President, Chief Executive Officer and Chairman of the Board
+Added: Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
+Added: SIGNATURES TITLE DATE
+Added: President, Chief Executive Officer, and Chairman of the Board (Principal Executive Officer) May 16, 2022
/s/ Michael E.
−Removed: Chief Financial Officer
−Removed: November 9, 2021
+Added: Chief Financial Officer (Principal Financial and Accounting Officer) May 16, 2022
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.