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Filing Details

Accession Number:
0001140361-18-018701
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-04-16 21:32:25
Reporting Period:
2018-04-12
Accepted Time:
2018-04-16 21:32:25
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
1660136 Michael James Murray Turning Point Brands, Inc.
5201 Interchange Way
Louisville KY 40229
Sr. Vp, Business Planning No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-04-12 400 $1.06 22,329 No 4 M Direct
Common Stock Disposition 2018-04-12 150 $21.14 22,179 No 4 S Direct
Common Stock Acquisiton 2018-04-13 150 $1.06 22,329 No 4 M Direct
Common Stock Disposition 2018-04-13 150 $20.89 22,179 No 4 S Direct
Common Stock Acquisiton 2018-04-16 650 $1.06 22,829 No 4 M Direct
Common Stock Disposition 2018-04-16 150 $21.70 22,679 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Options (2008) Disposition 2018-04-12 400 $0.00 400 $1.06
Common Stock Options (2008) Disposition 2018-04-13 150 $0.00 150 $1.06
Common Stock Options (2008) Disposition 2018-04-16 650 $0.00 650 $1.06
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,464 2018-11-04 No 4 M Direct
5,314 2018-11-04 No 4 M Direct
4,664 2018-11-04 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Options (2018) $21.21 2028-03-07 7,500 7,500 Direct
Common Stock Options (2017) $15.41 2027-05-17 6,000 6,000 Direct
Common Stock Options (2014) $3.83 2024-08-08 29,731 29,731 Direct
Common Stock Options (2011) $3.83 2021-08-25 62,591 62,591 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2028-03-07 7,500 7,500 Direct
2027-05-17 6,000 6,000 Direct
2024-08-08 29,731 29,731 Direct
2021-08-25 62,591 62,591 Direct
Footnotes
  1. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2019, 33% of the underlying shares on January 1, 2020 and 33% of the underlying shares on January 1, 2021.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. Granted pursuant to the issuer's 2015 Equity Incentive Plan.
  7. Granted pursuant to the issuer's 2006 Equity Incentive Plan.