Sec Form 4 Filing - Ezell Ryan Gillis @ FLOTEK INDUSTRIES INC/CN/ - 2023-12-29

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Ezell Ryan Gillis 2. Issuer Name and Ticker or Trading Symbol FLOTEK INDUSTRIES INC/CN/ [ FTK] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X __ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) CEO (Last) (First) (Middle) 5775 N. SAM HOUSTON PARKWAY W., STE 400 3. Date of Earliest Transaction (MM/DD/YY) 12/29/2023 (Street) HOUSTON, TX77086 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Shares 12/29/2023 A( 1 ) V 2,223 A $ 3.33 ( 2 ) 105,873 ( 3 ) ( 4 ) D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Ezell Ryan Gillis 5775 N. SAM HOUSTON PARKWAY W. STE 400 HOUSTON, TX77086 X CEO Signatures /s/ J. Bond Clement as attorney-in-fact 01/11/2024 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Mr. Ezell is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2012 Employee Stock Purchase Plan ("ESPP") for the 3-month period commencing October 1, 2023. This transaction is exempt under both Rule 16b-3(d) and Rule 16b-3(c). ( 2 )In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing price of the Issuer's common stock on 12/29/2023. ( 3 )On September 9, 2021, the reporting person filed a Form 4 incorrectly reporting the number of shares beneficially owned following the transaction, which failed to include 6,764 shares from a previous transaction reported on a Form 4 filed on April 6, 2021. The number of shares beneficially owned has been adjusted to correct the error. ( 4 )On November 27, 2023, the reporting person filed a Form 4 incorrectly reporting that the number of shares beneficially owned following the transaction as adjusted for the one for six reverse split of the common stock effective September 25, 2023 were 87,578 instead of 86,451. The number of shares beneficially owned following the transaction has been adjusted to correct the error.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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