1 unchanged sentence
Trading Arrangements
−Removed: During the quarter ended September 30, 2025, no director or officer (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934) adopted or terminated a Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (in each case, as defined in Item 408(a) of Regulation S-K).
−Removed: PWRtek Note Sale
−Removed: On November 7, 2025, the Company entered into a series of agreements with ProFrac GDM, LLC, a subsidiary of ProFrac, in connection with the assignment of the PWRtek Note by ProFrac GDM.
−Removed: Please see “Item 2.
−Removed: Management’s Discussion and Analysis of Financial Condition and Results of Operations – Recent Events” for additional information on these agreements.
+Added: During the quarter ended March 31, 2026, no director or officer (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934) adopted or terminated a Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (in each case, as defined in Item 408(a) of Regulation S-K).
Number Description of Exhibit
8 unchanged sentences
(incorporated by reference to Exhibit 3.1 to the Company’s Form 8-K filed on September 25, 2023).
−Removed: 3.6 Second Amended and Restated Bylaws, as amended (incorporated by reference to Exhibit 3.6 to the Company ’ s Form 10-Q for t h e quarter ended June 30, 2025 ) .
+Added: 3.6 Second Amended and Restated Bylaws, as amended (incorporated by reference to Exhibit 3.6 to the Company’s Form 10-Q filed on August 8 , 2025).
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: 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).
−Removed: 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).
−Removed: 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).
4.2 Form of Pre-Funded Warrants (incorporated by reference to Exhibit 4.1 to the Company’s Form 8-K filed on June 23, 2022).
4.3 Form of Warrant to Purchase Common Stock issued to ProFrac GDM, LLC (incorporated by reference to Exhibit 10.3 to the Company’s Form 8-K filed on April 28, 2025).
−Removed: 10.1 Flotek Industries, Inc.
−Removed: 2018 Long-Term Incentive Plan, as amended (incorporated by reference to Exhibit 4.1 to the Company’s Registration Statement on Form S-8 filed on July 10, 2025).
−Removed: 10.2 * Consent, Acknowledgement and Amendment to Senior Secured Note Documents, dated as of November 7, 2025, among PWRTEK, the Company and ProFrac GDM.
−Removed: 10.3 * Guaranty, dated as of November 7, 2025, among ProFrac GDM and ProFrac.
−Removed: 10.4 * Amendment No.
−Removed: 1 to Agreement for Equipment Rental, dated as of November 7, 2025, among PWRTEK and ProFrac GDM.
−Removed: 10.5 * Modification of the Consent Agreement and ABL Amendment, dated as of October 28, 2025.
+Added: 10.1 **** Form of Restricted Stock Unit Award Grant Notice and Restricted Stock Unit Award Agreement (Performance-based vesting) (incorporated by reference to Exhibit 10.2 to the Company’s Form 8-K filed on February 2 5 , 2026).
+Added: 10.2 * Employment Agreement dated March 2, 2026 between the Company and Christina M.
31.1 * Rule 13a-14(a) Certification of Principal Executive Officer.
14 unchanged sentences
Securities and Exchange Commission or its staff.
+Added: **** Portions of this exhibit have been omitted pursuant to Item 601(b)(10) of Regulation S-K in order for them to remain confidential.
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 7, 2025
FLOTEK INDUSTRIES, INC.
5 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.