Other Information
+Added: On May 5, 2023, the Board approved a form of director and officer indemnification agreement (the “D&O Indemnification Agreement”) to be used by the Company to provide contractual indemnification, expense advancement, and other related rights to the members of the Board and the Company’s executive officers who are a party thereto in accordance with the Delaware General Corporation Law, and authorized the Company to enter into the D&O Indemnification Agreement with each of the Company’s directors and executive officers.
+Added: The foregoing description of the D&O Indemnification Agreement does not purport to be complete and is qualified in its entirety by reference to the complete text of the D&O Indemnification Agreement, a copy of which is attached hereto as Exhibit 10.6 and incorporated herein by reference.
Number Description of Exhibit
10 unchanged sentences
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: 4.4 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).
4.5 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 Employment Agreement between Flotek Industries, Inc.
−Removed: 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)
−Removed: 10.2 Separat ion and Release Agreement between Michael E.
−Removed: Borton and Flotek Industries, Inc.
−Removed: dated July 4, 2022 (incorporated by reference to Exhibit 10.6 to the Company’s Form 10-Q filed of August 11 , 2022)
+Added: 10.1 Separation Agreement and General Release, dated January 19, 2023, between the Company ad John Gibson (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K file on January 19, 2023
+Added: 10.2 Employment Agreement, dated January 19, 2023, between the Company and Harsha Agadi (incorporated by reference to Exhibit 10.2 to the Company’s Form 8-K filed on January 19, 2023
+Added: 10.3 Stand-Alone Restricted Stock Unit Award Agreement (incorporated by reference to Exhibit 10.3 to the Company’s Form 8-K filed on January 19, 2023 )
+Added: 10.4 Amendment No.2 to the Chemical Supply Agreement dated February 1, 2023 between Flotek Chemistry, LLC and ProFrac Services, LLC (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed on February 6, 2023)
+Added: 10.5 * Separation Agreement and General Release, dated April 13, 2023, between the Company and James Silas
+Added: 10.6 * Director and Officer Indemnification Agreement, (“D&O” Indemnification Agreement”) dated May 5, 2023
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: November 9, 2022
FLOTEK INDUSTRIES, INC.
−Removed: President, Chief Executive Officer and Chairman of the Board
−Removed: /s/ Seham Carson
−Removed: Interim Chief Financial Officer (Principal Financial and Accounting Officer)
+Added: /s/ Harsha V.
+Added: Interim Chief Executive Officer and Director (Principal Executive Officer)
+Added: /s/ Bond Clement
+Added: Chief Financial Officer (Principal Financial and Accounting Officer)
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.