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Filing Details

Accession Number:: 0001140361-17-034104
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-09-01 14:39:59
Reporting Period:: 2017-08-31

Accepted Time:: 2017-09-01 13:39:59
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1290677	Turning Point Brands Inc.	TPB	Tobacco Products (2100)	133961898

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1659531	Wells James Dobbins	Turning Point Brands, Inc. 5201 Interchange Way Louisville KY 40229	Gc, Secretary, Sr. Vp	No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-08-31	12,002	$1.06	96,043	No	4	M	Direct
Common Stock	Disposition	2017-08-31	12,002	$16.93	84,041	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Options	Disposition	2017-08-31	12,002	$0.00	12,002	$1.06

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2017-09-18	No	4	M	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Options	$15.41	2027-05-17	6,850	6,850	Direct
Common Stock	Options	$3.83	2024-08-08	5,216	5,216	Direct
Common Stock	Options	$3.83	2021-08-25	31,296	31,296	Direct
Common Stock	Options	$1.06	2018-11-04	20,864	20,864	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2027-05-17	6,850	6,850	Direct
2024-08-08	5,216	5,216	Direct
2021-08-25	31,296	31,296	Direct
2018-11-04	20,864	20,864	Direct

Footnotes

The options vest and become exercisable as to 34% of the underlying shares on January 1, 2018, 33% of the underlying shares on January 1, 2019 and 33% of the underlying shares on January 1, 2020.
The options vested and became exercisable as to 50% of the underlying shares on August 8, 2014, 25% of the underlying shares on August 8, 2015 and 25% of the underlying shares on August 8, 2016.
The options vested and became exercisable as to 50% of the underlying shares on August 25, 2011, 16.66% of the underlying shares on August 25, 2012, 16.66% of the underlying shares on August 25, 2013 and the remaining 16.66% of the underlying shares on August 25, 2014.
The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.
The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.
Granted pursuant to the issuer's 2015 Equity Incentive Plan.
Granted pursuant to the issuer's 2006 Equity Incentive Plan.
Weighted average sale price. On 8/31/2017, the reporting person sold the shares within a range of $16.71 to $17.18. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.