Filing Details
- Accession Number:
- 0001567619-21-018973
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-10-29 14:18:48
- Reporting Period:
- 2021-10-28
- Accepted Time:
- 2021-10-29 14:18:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1794878 | Graham Purdy | 5201 Interchange Way Louisville KY 40229 | Chief Operating Officer | 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 | 2021-10-28 | 1,000 | $38.18 | 130,392 | 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 | 9,000 | 9,000 | Direct | |
| Common Stock | Options (2020) | $14.85 | 2030-03-18 | 11,000 | 11,000 | Direct | |
| Common Stock | Options (2019) | $47.58 | 2029-03-20 | 5,500 | 5,500 | Direct | |
| Common Stock | Options (2018) | $21.21 | 2028-03-07 | 8,900 | 8,900 | Direct | |
| Common Stock | Options (2017) | $15.41 | 2027-05-17 | 5,000 | 5,000 | Direct | |
| Common Stock | Options (2014) | $3.83 | 2024-08-08 | 5,216 | 5,216 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2031-02-18 | 9,000 | 9,000 | Direct |
| 2030-03-18 | 11,000 | 11,000 | Direct |
| 2029-03-20 | 5,500 | 5,500 | Direct |
| 2028-03-07 | 8,900 | 8,900 | Direct |
| 2027-05-17 | 5,000 | 5,000 | Direct |
| 2024-08-08 | 5,216 | 5,216 | Direct |
Footnotes
- Granted pursuant to the issuer's 2006 Equity Plan
- Includes 1,000 shares of common stock beneficially owned by the reporting person that were acquired in connection with the Issuer's IPO and were inadvertently excluded from previously filings.
- 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.
- Granted pursuant to the issuer's 2015 Equity Incentive Plan.
- 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 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.
- 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.
- 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.
- 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.
- Average price paid for common stock based on a high price of $38.27 and a low price of $38.08.
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