<SEC-DOCUMENT>0001013594-22-000096.txt : 20220204
<SEC-HEADER>0001013594-22-000096.hdr.sgml : 20220204
<ACCEPTANCE-DATETIME>20220204172408
ACCESSION NUMBER:		0001013594-22-000096
CONFORMED SUBMISSION TYPE:	SC 13D/A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20220204
DATE AS OF CHANGE:		20220204

SUBJECT COMPANY:	

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			FLOTEK INDUSTRIES INC/CN/
		CENTRAL INDEX KEY:			0000928054
		STANDARD INDUSTRIAL CLASSIFICATION:	MISCELLANEOUS CHEMICAL PRODUCTS [2890]
		IRS NUMBER:				900023731
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SC 13D/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	005-51879
		FILM NUMBER:		22594650

	BUSINESS ADDRESS:	
		STREET 1:		8846 N. SAM HOUSTON PARKWAY W.
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77064
		BUSINESS PHONE:		7138499911

	MAIL ADDRESS:	
		STREET 1:		8846 N. SAM HOUSTON PARKWAY W.
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77064

FILED BY:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Nierenberg Investment Management Company, Inc.
		CENTRAL INDEX KEY:			0001282683
		IRS NUMBER:				911677205
		STATE OF INCORPORATION:			WA
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SC 13D/A

	BUSINESS ADDRESS:	
		STREET 1:		19605 NE 8TH ST
		CITY:			CAMAS
		STATE:			WA
		ZIP:			98607
		BUSINESS PHONE:		360-604-8600

	MAIL ADDRESS:	
		STREET 1:		19605 NE 8TH ST
		CITY:			CAMAS
		STATE:			WA
		ZIP:			98607

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	NIERENBERG INVESTMENT MANAGEMENT CO
		DATE OF NAME CHANGE:	20040304
</SEC-HEADER>
<DOCUMENT>
<TYPE>SC 13D/A
<SEQUENCE>1
<FILENAME>flotek13a2-020422.htm
<DESCRIPTION>AMENDMENT NO. 2 OF THE SCHEDULE 13D
<TEXT>
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    <div style="text-align: center; line-height: 13.7pt; font-size: 12pt; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center; line-height: 13.7pt; font-size: 12pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; line-height: 13.7pt; font-size: 12pt; font-weight: bold;">Washington, D.C.&#160; 20549</div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="text-align: center; line-height: 18.25pt; font-size: 14pt; font-weight: bold;">SCHEDULE 13D</div>
    <div style="text-align: center; line-height: 12.3pt; font-size: 12pt; font-weight: bold;">Under the Securities Exchange Act of 1934</div>
    <div style="text-align: center; line-height: 12.3pt; font-size: 12pt; font-weight: bold;">(Amendment No. 2)</div>
    <div style="line-height: 12.3pt;"><br style="line-height: 12.3pt;">
    </div>
    <div style="line-height: 14.4pt; border-bottom: 0.75pt solid black;">
      <div style="text-align: center; line-height: 12.3pt; font-size: 12pt;">FLOTEK INDUSTRIES, INC</div>
    </div>
    <div style="text-align: center; line-height: 11.3pt;">(Name of Issuer)</div>
    <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
    </div>
    <div style="line-height: 14.4pt; border-bottom: 0.75pt solid black;">
      <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
      </div>
      <div style="text-align: center; line-height: 11.3pt;">Common Stock</div>
    </div>
    <div style="text-align: center; line-height: 11.3pt;">(Title of Class of Securities)</div>
    <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
    </div>
    <div style="line-height: 14.4pt; border-bottom: 0.75pt solid black;">
      <div style="text-align: center; line-height: 12.3pt; font-size: 12pt;">343389102</div>
    </div>
    <div style="text-align: center; line-height: 11.3pt;">(CUSIP Number)</div>
    <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
    </div>
    <div style="line-height: 14.4pt; border-bottom: 0.75pt solid black;">
      <div style="text-align: center; line-height: 11.3pt;">David Nierenberg<br>
        The D3 Family Funds<br>
        19605 NE 8th Street<br>
        Camas, WA&#160; 98607<br>
        (360) 604-8600</div>
      <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
      </div>
      <div style="text-align: center; line-height: 11.3pt;">With a copy to:</div>
      <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
      </div>
      <div style="text-align: center; line-height: 11.3pt;">Christopher P. Davis</div>
      <div style="text-align: center; line-height: 11.3pt;">Kleinberg, Kaplan, Wolff &amp; Cohen, P.C.</div>
      <div style="text-align: center; line-height: 11.3pt;">551 Fifth Avenue</div>
      <div style="text-align: center; line-height: 11.3pt;">New York, NY 10176</div>
      <div style="text-align: center; line-height: 11.3pt;">(212) 986-6000</div>
      <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
      </div>
    </div>
    <div style="text-align: center; line-height: 11.3pt;">(Name, Address and Telephone Number of Person<br>
      Authorized to Receive Notices and Communications)</div>
    <div style="line-height: 14.4pt; border-bottom: 0.75pt solid black;">
      <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
      </div>
      <div style="text-align: center; line-height: 11.3pt;">February 2, 2022</div>
    </div>
    <div style="text-align: center; line-height: 11.3pt;">(Date of Event which Requires Filing of this Statement)</div>
    <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
    </div>
    <div style="line-height: 11.3pt;">If the filing person has previously filed a statement on Schedule&#160;13G to report the acquisition that is the subject of this Schedule&#160;13D and is filing this schedule because of &#167;&#167;&#160;240.13d-1(e), 240.13d-1(f) or
      240.13d-1(g), check the following box <font style="font-size: 12pt;">[&#160;&#160; ].</font></div>
    <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
    </div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <div style="line-height: 11.3pt;"><br style="line-height: 11.3pt;">
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="z735023981833462a9061598702288703">

        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">1</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">NAME OF REPORTING PERSONS</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">The D3 Family Fund, L.P.</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">2</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)</div>
            <div style="text-indent: 399pt;">(a)[X]</div>
            <div style="text-indent: 399pt;">(b)[&#160; ]</div>
            <div style="line-height: 13.7pt;"><font style="line-height: 13.7pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">3</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SEC USE ONLY</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">&#160;&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">4</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOURCE OF FUNDS (See Instructions)</div>
            <div style="line-height: 12.55pt;">WC</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">5</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 27.35pt; font-size: 12pt;">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [&#160;&#160; ]</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">6</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CITIZENSHIP OR PLACE OF ORGANIZATION</div>
            <div style="line-height: 12.55pt;">Washington</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">NUMBER OF SHARES</div>
            <div style="text-align: center; line-height: 12.55pt;">BENEFICIALLY</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">7</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE VOTING POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">OWNED BY</div>
            <div style="text-align: center; line-height: 12.55pt;">EACH</div>
            <div style="text-align: center; line-height: 12.55pt;">REPORTING</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">8</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED VOTING POWER</div>
            <div style="line-height: 12.55pt;">2,582,029<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">PERSON</div>
            <div style="text-align: center; line-height: 12.55pt;">WITH</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">9</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid; border-bottom: #000000 2px solid;">&#160;</td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">10</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">&#160;2,582,029<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">11</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">&#160;2,582,029<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">12</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 13.7pt; font-size: 12pt;">CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)<br>
              EXCLUDES CERTAIN SHARES&#160;&#160;&#160;&#160;[ ]</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">13</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</div>
            <div style="line-height: 12.55pt;">3.1%</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">14</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">TYPE OF REPORTING PERSON (See Instructions)</div>
            <div style="line-height: 12.55pt;">PN</div>
          </td>
        </tr>

    </table>
    <div style="line-height: 11.4pt;">(1) Includes 1,022,860 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="z31a29c7decf04083a2b88f4984fcd4b8">

        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">1</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">NAME OF REPORTING PERSONS</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">The D3 Family Bulldog Fund, L.P.</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">2</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)</div>
            <div style="text-indent: 399pt;">(a)[X]</div>
            <div style="text-indent: 399pt;">(b)[&#160; ]</div>
            <div style="line-height: 13.7pt;"><font style="line-height: 13.7pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">3</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SEC USE ONLY</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">&#160;&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">4</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOURCE OF FUNDS (See Instructions)</div>
            <div style="line-height: 12.55pt;">WC</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">5</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 27.35pt; font-size: 12pt;">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [&#160;&#160; ]</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">6</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CITIZENSHIP OR PLACE OF ORGANIZATION</div>
            <div style="line-height: 12.55pt;">Washington</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">NUMBER OF SHARES</div>
            <div style="text-align: center; line-height: 12.55pt;">BENEFICIALLY</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">7</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE VOTING POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">OWNED BY</div>
            <div style="text-align: center; line-height: 12.55pt;">EACH</div>
            <div style="text-align: center; line-height: 12.55pt;">REPORTING</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">8</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED VOTING POWER</div>
            <div style="line-height: 12.55pt;">4,774,309<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">PERSON</div>
            <div style="text-align: center; line-height: 12.55pt;">WITH</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">9</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid; border-bottom: #000000 2px solid;">&#160;</td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">10</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">4,774,309<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">11</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">4,774,309<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">12</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 13.7pt; font-size: 12pt;">CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)<br>
              EXCLUDES CERTAIN SHARES&#160;&#160;&#160;&#160;[ ]</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">13</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</div>
            <div style="line-height: 12.55pt;">5.8%</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">14</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">TYPE OF REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">PN</div>
          </td>
        </tr>

    </table>
    <div style="line-height: 11.4pt;">(1) Includes 1,658,357 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="line-height: 13.7pt;"><font style="font-size: 12pt;"><br>
      </font><br style="line-height: 13.7pt;">
    </div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="zd9b980aa934f4fc6ae485a9ba1a0c8a1">

        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">1</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">NAME OF REPORTING PERSONS</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">Haredale Ltd.</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">2</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)</div>
            <div style="text-indent: 399pt;">(a)[X]</div>
            <div style="text-indent: 399pt;">(b)[&#160; ]</div>
            <div style="line-height: 13.7pt;"><font style="line-height: 13.7pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">3</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SEC USE ONLY</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">&#160;&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">4</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOURCE OF FUNDS (See Instructions)</div>
            <div style="line-height: 12.55pt;">WC</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">5</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 27.35pt; font-size: 12pt;">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [&#160;&#160; ]</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">6</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CITIZENSHIP OR PLACE OF ORGANIZATION</div>
            <div style="line-height: 12.55pt;">Bahamas</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">NUMBER OF SHARES</div>
            <div style="text-align: center; line-height: 12.55pt;">BENEFICIALLY</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">7</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE VOTING POWER</div>
            <div style="line-height: 12.55pt;">241,666<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">OWNED BY</div>
            <div style="text-align: center; line-height: 12.55pt;">EACH</div>
            <div style="text-align: center; line-height: 12.55pt;">REPORTING</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">8</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED VOTING POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">PERSON</div>
            <div style="text-align: center; line-height: 12.55pt;">WITH</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">9</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid; border-bottom: #000000 2px solid;">&#160;</td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">10</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">241,666<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">11</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">241,666<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">12</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 13.7pt; font-size: 12pt;">CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)<br>
              EXCLUDES CERTAIN SHARES&#160;&#160;&#160;&#160;[ ]</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">13</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</div>
            <div style="line-height: 12.55pt;">Less than 1%</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">14</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">TYPE OF REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">CO</div>
          </td>
        </tr>

    </table>
    <div style="line-height: 11.4pt;">(1) Includes 75,818 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="zc41062d5f253486a831c13aeab867db0">

        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">1</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">NAME OF REPORTING PERSONS</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">Nierenberg Investment Management Company, Inc.</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">2</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)</div>
            <div style="text-indent: 399pt;">(a)[X]</div>
            <div style="text-indent: 399pt;">(b)[&#160; ]</div>
            <div style="line-height: 13.7pt;"><font style="line-height: 13.7pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">3</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SEC USE ONLY</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">&#160;&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">4</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOURCE OF FUNDS (See Instructions)</div>
            <div style="line-height: 12.55pt;">WC</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">5</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 27.35pt; font-size: 12pt;">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [&#160;&#160; ]</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">6</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CITIZENSHIP OR PLACE OF ORGANIZATION</div>
            <div style="line-height: 12.55pt;">Washington</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">NUMBER OF SHARES</div>
            <div style="text-align: center; line-height: 12.55pt;">BENEFICIALLY</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">7</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE VOTING POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">OWNED BY</div>
            <div style="text-align: center; line-height: 12.55pt;">EACH</div>
            <div style="text-align: center; line-height: 12.55pt;">REPORTING</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">8</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED VOTING POWER</div>
            <div style="line-height: 12.55pt;">7,356,338<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)(2)</sup></div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">PERSON</div>
            <div style="text-align: center; line-height: 12.55pt;">WITH</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">9</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">0</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid; border-bottom: #000000 2px solid;">&#160;</td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">10</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">7,598,004<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)(2)(3)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">11</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">7,598,004<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)(2)(3)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">12</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 13.7pt; font-size: 12pt;">CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)<br>
              EXCLUDES CERTAIN SHARES&#160;&#160;&#160;&#160;[ ]</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">13</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</div>
            <div style="line-height: 12.55pt;">9.2%</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">14</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">TYPE OF REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">CO</div>
          </td>
        </tr>

    </table>
    <div style="line-height: 11.4pt;">(1) Includes 1,022,860 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="line-height: 11.4pt;">(2) Includes 1,658,357 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="line-height: 12.55pt;">(3) Includes 75,818 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="z824cc2f164284575a2e357e128522d94">

        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">1</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">NAME OF REPORTING PERSONS</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">David Nierenberg</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">2</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)</div>
            <div style="text-indent: 399pt;">(a)[X]</div>
            <div style="text-indent: 399pt;">(b)[&#160; ]</div>
            <div style="line-height: 13.7pt;"><font style="line-height: 13.7pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">3</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SEC USE ONLY</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;">&#160;&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">4</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOURCE OF FUNDS (See Instructions)</div>
            <div style="line-height: 12.55pt;">AF</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">5</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 27.35pt; font-size: 12pt;">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [&#160;&#160; ]</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">6</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CITIZENSHIP OR PLACE OF ORGANIZATION</div>
            <div style="line-height: 12.55pt;">United States of America</div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">NUMBER OF SHARES</div>
            <div style="text-align: center; line-height: 12.55pt;">BENEFICIALLY</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">7</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE VOTING POWER</div>
            <div style="line-height: 12.55pt;">155,774<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">OWNED BY</div>
            <div style="text-align: center; line-height: 12.55pt;">EACH</div>
            <div style="text-align: center; line-height: 12.55pt;">REPORTING</div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">8</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED VOTING POWER</div>
            <div style="line-height: 12.55pt;">7,512,112<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(2)(3)</sup></div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt;">PERSON</div>
            <div style="text-align: center; line-height: 12.55pt;">WITH</div>
            <div style="line-height: 12.55pt;"><font style="line-height: 12.55pt;">&#160;</font></div>
          </td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">9</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SOLE DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">155,774<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
          </td>
        </tr>
        <tr>
          <td colspan="2" style="width: 20.86%; vertical-align: top; border-left: #000000 2px solid; border-bottom: #000000 2px solid;">&#160;</td>
          <td style="width: 9.28%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">10</div>
          </td>
          <td style="width: 69.85%; vertical-align: top; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">SHARED DISPOSITIVE POWER</div>
            <div style="line-height: 12.55pt;">7,598,004<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(2)(3)(4)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">11</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">7,753,778<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)(2)(3)(4)</sup></div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">12</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)</div>
            <div style="line-height: 12.55pt;">EXCLUDES CERTAIN SHARES&#160; &#160; [ ]</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">13</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</div>
            <div style="line-height: 12.55pt;">9.4%</div>
          </td>
        </tr>
        <tr>
          <td style="width: 9.17%; vertical-align: top; border-left: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; line-height: 12.55pt; font-weight: bold;">14</div>
          </td>
          <td colspan="3" style="width: 90.83%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="line-height: 12.55pt;">TYPE OF REPORTING PERSON</div>
            <div style="line-height: 12.55pt;">IN</div>
          </td>
        </tr>

    </table>
    <div style="line-height: 11.4pt;">(1) Includes 155,774 shares of Common Stock granted to Mr. Nierenberg in his capacity as a director of the Issuer, of which 52,000 shares of Common Stock are vested and 103,774 shares of Common Stock that have not yet
      vested.</div>
    <div style="line-height: 11.4pt;">(2)Includes 1,022,860 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="line-height: 11.4pt;">(3) Includes 1,658,357 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="line-height: 11.4pt;">(4) Includes 75,818 shares of Common Stock issuable upon the optional conversion of the convertible note (as disclosed in Item 4); does not include the conversion of any accrued but unpaid interest on such note.</div>
    <div style="line-height: 11.4pt;"><br style="line-height: 11.4pt;">
    </div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">This Amendment No. 2 to Schedule 13D (this &#8220;Amendment&#8221;) amends the below-indicated items from the Schedule 13D with respect to the shares of
      common stock (the &#8220;Common Stock&#8221;) of Flotek Industries Inc, (the &#8220;Issuer&#8221;) previously filed by or on behalf of the Reporting Persons (as defined below) (the &#8220;Schedule 13D&#8221;), by amending and/or supplementing such Items as indicated below.</div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000; margin-bottom: 12pt;" class="DSPFListTable" id="zf7541fadf39946a3a95388bc78fcec77">

        <tr>
          <td style="width: 54pt; vertical-align: top; align: right; font-size: 12pt; font-weight: bold;">Item 3.</td>
          <td style="width: auto; vertical-align: top;">
            <div style="font-size: 12pt; font-weight: bold;">Source and Amount of Funds or Other Consideration.</div>
          </td>
        </tr>

    </table>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">Item 3 of the Schedule 13D is hereby amended and restated in its entirety as follows:</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-top: 12pt; margin-bottom: 12pt; font-size: 12pt;">The total amount of funds used by the Reporting Persons to make all purchases of Shares beneficially owned by the
      Reporting Persons, as reported in Item 5(a,b) was $23,131,811. The source of funds for purchases of Shares by each of the Reporting Persons is the working capital of the applicable D3 Family Fund and Haredale Ltd. The source of funds for purchases of
      Shares by Mr. Nierenberg is his personal funds.</div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000; margin-bottom: 12pt;" class="DSPFListTable" id="z22d3759a612647b3b0200df53e0fa27b">

        <tr>
          <td style="width: 54pt; vertical-align: top; align: right; font-size: 12pt; font-weight: bold;">Item 4.</td>
          <td style="width: auto; vertical-align: top;">
            <div style="font-size: 12pt; font-weight: bold;">Purpose of Transaction</div>
          </td>
        </tr>

    </table>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">Item 4 of the Schedule 13D is hereby amended to add the following:</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">On February 2, 2022, the Family Fund, the Bulldog Fund, the Managed Account, the Issuer and the other Purchasers (as defined below) party
      thereto entered into: (a) the Purchase Agreement (as defined below), dated as of such date and filed as Exhibit 10.1 to the Issuer&#8217;s Current Report on Form 8-K filed with the Securities and Exchange Commission on February 4, 2022; and (b) the
      Registration Rights Agreement (as defined below). The Securities Purchase Agreement and Registration Rights Agreement are further described in Item 6 below, which disclosure is incorporated herein by reference.</div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000; margin-bottom: 12pt;" class="DSPFListTable" id="zd75baee8ead648f1849118e4b6d2ba2f">

        <tr>
          <td style="width: 54pt; vertical-align: top; align: right; font-size: 12pt; font-weight: bold;">Item 5.</td>
          <td style="width: auto; vertical-align: top;">
            <div style="font-size: 12pt; font-weight: bold;">Interest in Securities of the Issuer.</div>
          </td>
        </tr>

    </table>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows:</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt;"><font style="font-size: 12pt;">(a)</font><font style="text-indent: 0px; font-size: 5.14pt;" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="font-size: 12pt;">The aggregate percentage of Shares reported owned by each person named herein is based upon 79,617,743 Shares outstanding as of November 8, 2021, which is the total number of Shares outstanding as reported in the Issuer&#8217;s Quarterly Report on
        Form 10-Q filed with the Securities and Exchange Commission on November 9, 2021, plus 2,757,035 shares of Common Stock issuable upon the optional conversion of the convertible notes (as described more fully in Items 4 and 6), which assumes the
        conversion of the convertible notes at the optional conversion price.</font></div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">As of the close of business on the date hereof, the Family Fund individually beneficially owned 2,582,029 Shares, constituting approximately
      3.1% of all of the outstanding Shares.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">As of the close of business on the date hereof, the Bulldog Fund individually beneficially owned 4,774,309 Shares, constituting
      approximately 5.8% of all of the outstanding Shares.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">As of the close of business on the date hereof, Haredale Limited individually beneficially owned 241,666 Shares, constituting less than 1%
      of all of the outstanding Shares.</div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
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    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">By virtue of its relationships with each of the Family Fund, the Bulldog Fund and the Managed Account, as discussed in further detail in
      Item 2, NIMCO may be deemed to be the beneficial owner of the 7,598,004 Shares, beneficially owned in the aggregate by the Family Fund, the Bulldog Fund and the Managed Account, constituting approximately 9.2% of all of the outstanding Shares.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">By virtue of his relationship with NIMCO, as discussed in further detail in Item 2, Mr.&#160;Nierenberg may be deemed to be the beneficial owner
      of the 7,753,778 Shares, consisting of (i) 155,774 Shares held directly and (ii) the 7,598,004 Shares beneficially owned by NIMCO, constituting approximately 9.4% of all of the outstanding Shares.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">The Reporting Persons, in the aggregate, beneficially own 7,753,778 Shares, constituting approximately 9.4% of the outstanding Shares. Each
      Reporting Person, as a member of a &#8220;group&#8221; with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed the beneficial owner of the Shares directly owned by the other
      Reporting Persons. Each Reporting Person disclaims beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.</div>
    <div style="text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt;"><font style="font-size: 12pt;">(b)</font><font style="text-indent: 0px; font-size: 5.14pt;" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="font-size: 12pt;">The Family
        Fund, NIMCO and Mr. Nierenberg have shared power (i) to vote or direct the vote of, and (ii) to dispose or direct the disposition of, the Shares held by the Family Fund.</font></div>
    <div style="text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">The Bulldog Fund, NIMCO and Mr. Nierenberg have shared power (i) to vote or direct the vote of, and (ii) to dispose or direct the disposition of, the Shares held
      by the Bulldog Fund.</div>
    <div style="text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">The Managed Account has sole power to vote or direct the vote of the Shares held by the Managed account, and the Managed Account, NIMCO and Mr. Nierenberg have
      shared power to dispose or direct the disposition of, the Shares held by the Managed Account.</div>
    <div style="text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">Mr. Nierenberg has sole power (i) to vote or direct the vote of, and (ii) to dispose or direct the disposition of, the Shares held directly by him.</div>
    <div style="text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt;"><font style="font-size: 12pt;">(c)</font><font style="text-indent: 0px; font-size: 5.14pt;" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="font-size: 12pt;">During the
        past sixty (60) days, other than the Notes described more fully in Items 4 and 6, the Reporting Persons did not trade in the securities of the Issuer.</font></div>
    <div style="text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt;"><font style="font-size: 12pt; color: #000000;">(d)</font><font style="text-indent: 0px; font-size: 5.14pt;" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="font-size: 12pt;"><font style="color: #000000;">No Person other than </font>the<font style="color: #000000;"> Reporting Persons has the right to receive or the power to direct the receipt of distributions or dividends from, or the proceeds from the transfer
          of, the reported securities.</font></font></div>
    <div style="text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt;"><font style="font-size: 12pt; color: #000000;">(e)</font><font style="text-indent: 0px; font-size: 5.14pt;" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="font-size: 12pt; color: #000000;">Not Applicable.</font></div>
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        <tr>
          <td style="width: 54pt; vertical-align: top; align: right; font-size: 12pt; font-weight: bold;">Item 6.</td>
          <td style="width: auto; vertical-align: top;">
            <div style="font-size: 12pt; font-weight: bold;">Interest in Securities of the Issuer.</div>
          </td>
        </tr>

    </table>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">Item 6 of the Schedule 13D is hereby amended to add the following:</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">On February 2, 2022, the Issuer entered into a Note Purchase Agreement (the &#8220;Purchase Agreement&#8221;) with the Family Fund, the Bulldog Fund and
      certain institutional investors (collectively, the &#8220;Purchasers&#8221;), pursuant to which the Issuer agreed to issue and sell in a private placement (the &#8220;Offering&#8221;) of approximately $21.2 million in principal amount of 10% convertible PIK notes (the
      &#8220;Notes&#8221;) convertible into shares of Common Stock (or pre-funded warrants to purchase the Common Stock at a nominal price (the &#8220;Pre-Funded Warrants&#8221;) in limited circumstances as described in the Purchase Agreement and the Notes).</div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
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    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">The closing of the Offering happened contemporaneously with the execution of the Purchase Agreement. The proceeds from the Offering will be
      used for liquidity and general corporate purposes. In the Offering, the Family Fund was issued a Note with a principal amount of $1,113,000.00, the Bulldog Fund was issued a Note with a principal amount of $1,804,500.00 and the Managed Account was
      issued a Note with a principal amount of $82,500.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">Each holder of the Notes, including the Family Fund, the Bulldog Fund and the Managed Account, may convert all or any portion of its Notes
      into Common Stock at a price of $1.088125 per share (the &#8220;Conversion Price&#8221;) at any time prior to the maturity date. Interest on the Notes will begin to accrue on the unpaid principal balance commencing on the closing date at the rate of 10% per
      annum, payable in incremental Notes or Pre-Funded Warrants, as applicable. Accrued and unpaid interest on the Notes will be due and payable on the maturity date on February 2, 2023, which is 12 months from the closing date, at which date the Notes
      are mandatorily converted and payable in shares of Common Stock at the lesser of the Conversion Price and $0.8705 per share. The Notes will also be mandatorily converted in the event of change of control of the Issuer and payable in shares of Common
      Stock at the lesser of the Conversion Price and $0.8705 per share or cash as described therein (or an amount of cash). In addition, the Notes may be converted by the Issuer if the 20-trading day volume-weighted average trading price of the Common
      Stock equals or exceeds the greater of $2.50 per share or $1.741 for 20 trading days during a 30 consecutive trading day period. The Conversion Price will be adjusted in the case of stock splits, stock dividends, combinations of shares and similar
      recapitalization transactions.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">The Purchase Agreement contains customary representations, warranties and covenants of the Issuer and the Purchasers.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">The securities were issued and sold without registration under the Securities Act of 1933, as amended (the &#8220;Securities Act&#8221;) in reliance on
      the exemptions provided by Section 4(a)(2) of the Securities Act and/or Regulation D promulgated thereunder and in reliance on similar exemptions under applicable state securities laws. Accordingly, the Family Fund, the Bulldog Fund and the Managed
      Account may convert the Notes or sell the underlying shares of Common Stock only pursuant to an effective registration statement under the Securities Act covering the resale of those shares, an exemption under Rule 144 under the Securities Act or
      another applicable exemption under the Securities Act.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">On February 2, 2022, in connection with the Closing and pursuant to the Purchase Agreement, the Issuer entered into a Registration Rights
      Agreement (the &#8220;Registration Rights Agreement&#8221;) with the Family Fund, the Bulldog Fund, the Managed Account and the other Purchasers party thereto relating to the registration of the Common Stock issued or issuable upon conversion of the Notes
      (including both the Notes issued in the Offering and the Notes issued in connection with the execution and delivery of that certain Supply Agreement as discussed below) and issued or issuable pursuant to the Pre-Funded Warrants (including any shares
      issued as or issuable upon the conversion or redemption as dividend or distribution of such shares) (the &#8220;Registrable Securities&#8221;).</div>
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    </div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt;">Pursuant to the Registration Rights Agreement, the Issuer is required to use its commercially reasonable efforts to file a registration
      statement on or before 120 days from the date of the Registration Rights Agreement (the &#8220;Shelf Registration Statement&#8221;), and to cause the Shelf Registration Statement to become effective no later than four months following the initial filing of the
      Shelf Registration Statement. In certain circumstances and subject to customary qualifications and limitations, the holders of Registrable Securities will have piggyback registration rights on offerings of Common Stock initiated by the Issuer, among
      other rights as described in the Registration Rights Agreement, and selling Purchasers will have rights to request that the Issuer initiate an Underwritten Offering (as defined in the Registration Rights Agreement) of Registrable Securities in any
      365-day period.</div>
    <div style="text-align: justify; text-indent: 36pt; line-height: 13.7pt; margin-bottom: 12pt; color: #000000; font-size: 12pt;">The foregoing descriptions of the Purchase Agreement and the Registration Rights Agreement do not purport to be complete and
      are qualified in their entirety by reference to the Purchase Agreement and Registration Rights Agreement, as applicable.</div>
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        <tr>
          <td style="width: 54pt; vertical-align: top; align: right; font-size: 12pt; font-weight: bold;">Item 7.</td>
          <td style="width: auto; vertical-align: top;">
            <div style="font-size: 12pt; font-weight: bold;">Material to be Filed as Exhibits.</div>
          </td>
        </tr>

    </table>
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        <tr>
          <td style="width: 36pt;"><br>
          </td>
          <td style="width: 72pt; vertical-align: top; align: right; font-size: 12pt;">Exhibit 99.1</td>
          <td style="width: auto; vertical-align: top; text-align: justify;">
            <div style="font-size: 12pt;">Note Purchase Agreement, dated February 2, 2022, by and among Flotek Industries, Inc. and the Purchasers party thereto <font style="color: #000000;">(incorporated by reference to Exhibit 10.1 to the Issuer&#8217;s Form
                8-K filed with the Securities Exchange Commission on February 4, 2022)</font>.</div>
          </td>
        </tr>

    </table>
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        <tr>
          <td style="width: 36pt;"><br>
          </td>
          <td style="width: 72pt; vertical-align: top; align: right; font-size: 12pt;">Exhibit 99.2</td>
          <td style="width: auto; vertical-align: top; text-align: justify;">
            <div style="font-size: 12pt;">Form of Convertible Note (incorporated&#160; by reference to Exhibit 4.1 to the Issuer&#8217;s Form 8-K filed with the Securities and Exchange Commission on February 4, 2022).</div>
          </td>
        </tr>

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        <tr>
          <td style="width: 36pt;"><br>
          </td>
          <td style="width: 72pt; vertical-align: top; align: right; font-size: 12pt;">Exhibit 99.3</td>
          <td style="width: auto; vertical-align: top; text-align: justify;">
            <div style="font-size: 12pt;">Registration Rights Agreement, dated February 2, 2022, by and among Flotek Industries, Inc. and <font style="color: #000000;">the</font> Purchasers party thereto <font style="color: #000000;">(incorporated by
                reference to Exhibit 10.2 to the Issuer&#8217;s Form 8-K filed with the Securities Exchange Commission on February 4, 2022)</font>.</div>
          </td>
        </tr>

    </table>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
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    <div style="text-align: center; line-height: 13.7pt; margin-bottom: 12pt; font-size: 12pt; font-weight: bold;">SIGNATURE</div>
    <div style="line-height: 13.7pt; font-size: 12pt;">After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in the Statement is true, complete and correct.</div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
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          <td style="width: 50%; vertical-align: top;">&#160;</td>
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            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">D3 Family Fund, L.P., D3 Family Bulldog</div>
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">Fund, L.P.,</div>
            <div style="line-height: 11.4pt;"><font style="line-height: 11.4pt;">&#160;</font></div>
            <div style="line-height: 11.4pt; color: #000000;">By: Nierenberg Investment Management Company, Inc.,</div>
            <div style="line-height: 11.4pt;"><font style="line-height: 11.4pt;">&#160;</font></div>
            <div style="line-height: 11.4pt; color: #000000;">Its: General Partner</div>
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        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="width: 50%; vertical-align: top;">
            <div style="line-height: 11.4pt; color: #000000;">&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">February 4, 2022</div>
          </td>
          <td style="width: 4.86%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">By:</div>
          </td>
          <td style="width: 45.14%; vertical-align: top; border-bottom: #000000 2px solid;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">/s/ David Nierenberg</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="width: 4.86%; vertical-align: top;">
            <div style="line-height: 11.4pt; color: #000000;">&#160;</div>
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          <td style="width: 45.14%; vertical-align: top; border-top: #000000 2px solid;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">David Nierenberg, President</div>
          </td>
        </tr>

    </table>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
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        <tr>
          <td style="width: 50.02%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="width: 49.98%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">Haredale Ltd.</div>
            <div style="line-height: 11.4pt;"><font style="line-height: 11.4pt;">&#160;</font></div>
            <div style="line-height: 11.4pt; color: #000000;">By: Nierenberg Investment Management Company, Inc.,</div>
            <div style="line-height: 11.4pt;"><font style="line-height: 11.4pt;">&#160;</font></div>
            <div style="line-height: 11.4pt; color: #000000;">Its: Investment Manager</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50.02%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="width: 49.98%; vertical-align: top;">
            <div style="line-height: 11.4pt; color: #000000;">&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50.02%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">February 4, 2022</div>
          </td>
          <td style="width: 4.9%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">By:</div>
          </td>
          <td style="width: 45.07%; vertical-align: top; border-bottom: #000000 2px solid;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">/s/ David Nierenberg</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50.02%; vertical-align: top;">&#160;</td>
          <td style="width: 4.9%; vertical-align: top;">
            <div style="line-height: 11.4pt; color: #000000;">&#160;</div>
          </td>
          <td style="width: 45.07%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">David Nierenberg,&#160; President</div>
          </td>
        </tr>

    </table>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
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        <tr>
          <td style="width: 50.02%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="width: 49.98%; vertical-align: top;">
            <div style="line-height: 11.4pt; color: #000000;">Nierenberg Investment Management Company, Inc.</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50.02%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="width: 49.98%; vertical-align: top;">
            <div style="line-height: 11.4pt; color: #000000;">&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50.02%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">February 4, 2022</div>
          </td>
          <td style="width: 4.9%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">By:</div>
          </td>
          <td style="width: 45.07%; vertical-align: top; border-bottom: #000000 2px solid;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">/s/ David Nierenberg</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50.02%; vertical-align: top;">&#160;</td>
          <td style="width: 4.9%; vertical-align: top;">
            <div style="line-height: 11.4pt; color: #000000;">&#160;</div>
          </td>
          <td style="width: 45.07%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">David Nierenberg, President</div>
          </td>
        </tr>

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    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
    <div style="line-height: 13.7pt;"><br style="line-height: 13.7pt;">
    </div>
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        <tr>
          <td style="width: 50%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">&#160;February 4, 2022</div>
          </td>
          <td style="width: 50%; vertical-align: top; border-bottom: #000000 2px solid;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">/s/ David Nierenberg</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">&#160;</div>
          </td>
          <td style="width: 50%; vertical-align: top;">
            <div style="text-align: justify; line-height: 11.4pt; color: #000000;">David Nierenberg</div>
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        </tr>

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