Filing Details

Accession Number:
0001567619-21-018972
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2021-10-29 14:18:06
Reporting Period:
2021-10-28
Accepted Time:
2021-10-29 14:18:06
Original Submission Date:
2021-10-28
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
1660246 Lawrence Wexler 393 Carter Street
Canaan CT 06840
President And Ceo Yes 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 2021-10-28 1,500 $37.95 354,470 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 (2021) $51.75 2031-02-18 15,900 15,900 Direct
Common Stock Options 2020 $14.85 2030-03-18 20,000 20,000 Direct
Common Stock Options (2019) $47.58 2029-03-20 35,500 35,500 Direct
Common Stock Options (2018) $21.21 2028-03-07 26,500 26,500 Direct
Common Stock Options (2017) $15.41 2027-05-17 16,819 16,819 Direct
Common Stock Options (2014) $3.83 2024-08-08 4,695 4,695 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2031-02-18 15,900 15,900 Direct
2030-03-18 20,000 20,000 Direct
2029-03-20 35,500 35,500 Direct
2028-03-07 26,500 26,500 Direct
2027-05-17 16,819 16,819 Direct
2024-08-08 4,695 4,695 Direct
Footnotes
  1. 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.
  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 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.
  4. Granted pursuant to the issuer's 2006 Equity Incentive Plan.
  5. Granted pursuant to the issuer's 2015 Equity Incentive Plan.
  6. 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.
  7. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2021, 33% of the underlying shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023.
  8. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2022, 33% of the underlying shares on January 1, 2023 and 33% of the underlying shares on January 1, 2024.