UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to
Section 13 or 15(d) of the Securities Exchange Act of
1934
June 29,
2020
Date of Report
(Date of earliest event reported)
Flotek
Industries, Inc.
(Exact name of
registrant as specified in its charter)
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Delaware
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001-13270
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90-0023731
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(State or Other Jurisdiction
of
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(Commission
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(IRS Employer
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Incorporation)
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File Number)
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Identification
No.)
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8846 N. Sam
Houston Pkwy W.,
Houston,
Texas 77064
(Address of
principal executive office and zip code)
(713)
849-9911
(Registrant’s
telephone number, including area code)
(Not
applicable)
(Former name or
former address, if changed since last report.)
Check the
appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:
¨ Written
communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
¨ Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
¨ Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
¨ Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
Securities
registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, $0.0001 par
value
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FTK
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New York Stock
Exchange
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Indicate by check
mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (§230.405 of this
chapter) or Rule 12b-2 of the Securities Exchange Act of 1934
(§240.12b-2 of this chapter).
Emerging growth
company ¨
If an emerging
growth company, indicate by check mark if the registrant has
elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange Act. ¨
Due to the
impacts of the COVID-19 outbreak, Flotek Industries, Inc. (the
"Company") expects that it will be unable to meet its filing
deadline of June 30, 2020 for its Form 11-K related to the audit of
its 401(k) plan (the "Form 11-K"), and intends to rely on the order
issued by the SEC on March 25, 2020, Release No. 34-88465, that
grants certain exemptions related to reporting requirements for
certain public companies to delay the filing of the Form
11-K.
The expected
inability of the Company to file the Form 11-K is a result of
difficulties in communication between the Company's internal
personnel and with external advisors during the COVID-19 emergency,
as well as challenges receiving information from outside vendors.
The Company expects that it will be able to file the Form 11-K on
or around July 31, 2020. The risk factor included in Item 8.01 of
the Company's Current Report on Form 8-K filed on May 7, 2020 is
hereby incorporated by reference.
SIGNATURES
Pursuant to the
requirements of the Securities Exchange Act of 1934, the registrant
has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
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FLOTEK
INDUSTRIES, INC.
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Date: June 29,
2020
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/s/ Nicholas J.
Bigney
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Name:
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Nicholas J.
Bigney
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Title:
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Senior Vice President,
General Counsel & Corporate Secretary
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