1 unchanged sentence
Number Description of Exhibit
+Added: 2.1 *** 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.
+Added: 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).
2 unchanged sentences
(incorporated by reference to Exhibit 3.1 to the Company’s Form 8-K filed on May 7, 2020).
+Added: 3.4 Certificate of Amendment to the Amended and Restated Certificate of Incorporation (form of which is incorporated by reference to Appendix B to the Company’s Proxy Statement filed on April 5, 2022) .
3.5 Second Amended and Restated Bylaws, as amended (incorporated by reference to Exhibit 3.4 to the Company’s Form 10-K filed on March 16, 2021).
3 unchanged sentences
4.4 Form of Pre-Funded Warrants (incorporated by reference to Exhibit 4.1 to the Company’s Form 8-K filed on June 23, 2022).
−Removed: 10.1 *** Amendment No.
−Removed: 1 to Chemical Products Supply Agreement between Flotek Chemistry, LLC and ProFrac Services, LLC dated May 17, 2022 (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed on May 18, 2022).
−Removed: 10.2 Registration Rights Agreement, by and between Flotek Industries, Inc.
−Removed: and ProFrac Holdings II, LLC dated May 17, 2022 (incorporated by reference to Exhibit 10.2 to the Company’s Form 8-K filed on May 18, 2022).
−Removed: 10.3 10% Convertible PIK Note dated May 17, 2022 (incorporated by reference to Exhibit 10.3 to the Company’s Form 8-K filed on May 18, 2022).
−Removed: 10.4 Securities Purchase Agreement between Flotek Industries, Inc.
−Removed: and ProFrac Holdings II, LLC dated June 17, 2022 (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed on June 23, 2022).
−Removed: 10.5 Amendment No.
−Removed: 1 to Registration Rights Agreement Flotek Industries, Inc.
−Removed: and ProFrac Holdings II, LLC dated June 21, 2022 (incorporated by reference to Exhibit 10.2 to the Company’s Form 8-K filed on June 23, 2022).
−Removed: 10.6 * Separate and Release Agreement between Michael Borton and Flotek Industries, Inc.
−Removed: dated July 4, 2022.
+Added: 10.1 Employment Agreement between Flotek Industries, Inc.
+Added: Carson effective as of August 5, 2022 (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed on August 9, 2022)
+Added: 10.2 Separat ion and Release Agreement between Michael E.
+Added: Borton and Flotek Industries, Inc.
+Added: dated July 4, 2022 (incorporated by reference to Exhibit 10.6 to the Company’s Form 10-Q filed of August 11 , 2022)
31.1 * Rule 13a-14(a) Certification of Principal Executive Officer.
15 unchanged sentences
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.
−Removed: August 10, 2022
+Added: November 9, 2022
FLOTEK INDUSTRIES, INC.
3 unchanged sentences
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.