Filing Details

Accession Number:
0001567619-20-006151
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-12 10:00:47
Reporting Period:
2020-03-11
Accepted Time:
2020-03-12 10:00:47
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
1733907 M. Robert Lavan 5201 Interchange Way
Louisville KY 40229
Svp, Cfo No Yes 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 2020-03-11 1,000 $19.66 7,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Options (2019) $47.58 2029-03-20 46,000 46,000 Direct
Common Stock Options (2018) $21.49 2028-03-13 26,000 26,000 Direct
Common Stock Options (2018) $21.21 2028-03-07 9,000 9,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2029-03-20 46,000 46,000 Direct
2028-03-13 26,000 26,000 Direct
2028-03-07 9,000 9,000 Direct
Footnotes
  1. Granted pursuant to the issuer's 2015 Equity Incentive Plan.
  2. 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.
  3. The options vest and become exercisable as to 34% of the underlying shares on March 13, 2018, 33% of the underlying shares on January 1, 2019 and 33% of the underlying shares on January 1, 2020.
  4. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2020, 33% of the underlying shares on January 1, 2021 and 33% of the underlying shares on January 1, 2022.