Page 1

X • ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from Delaware ( State of other jurisdiction of incorporation or organization ) to Commission File Number 1-13270 FLOTEK INDUSTRIES , INC . ( Exact name of registrant as specified in its charter ) Title of each class Common Stock , $ 0.0001 par value 8846 N. Sam Houston Parkway W. Houston , TX ( Address of principal executive offices ) FLOTEK ( 713 ) 849-9911 ( Registrant's telephone number , including area code ) Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol ( s ) FTK 90-0023731 ( I.R.S. Employer Identification No. ) Securities registered pursuant to Section 12 ( g ) of the Act : None 77064 ( Zip Code ) Name of each exchange on which registered New York Stock Exchange Indicate by check mark : if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No X No if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , ” “ accelerated filer , " " smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Act . Large accelerated filer □ Accelerated filer > Non - accelerated filer □ Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . □ Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . • whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No The aggregate market value of common stock held by non - affiliates of the registrant as of June 30 , 2020 ( based on the closing market price on the New York Stock Exchange on June 30 , 2020 ) was approximately $ 87,800,063 . At March 12 , 2021 , there were 72,548,297 outstanding shares of the registrant's common stock , $ 0.0001 par value . DOCUMENTS INCORPORATED BY REFERENCE Portions of the Company's definitive proxy statement in connection with the 2021 Annual Meeting of Stockholders to be filed with the Commission pursuant to Regulation 14A are incorporated by reference into Part III of this Annual Report on Form 10 - K .