Filing Details
- Accession Number:
- 0001567619-21-018974
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-10-29 14:19:42
- Reporting Period:
- 2021-10-28
- Accepted Time:
- 2021-10-29 14:19:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1858265 | Luis Reformina | 5201 Interchange Way Louisville KY 40229 | Sr Vp, 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 | 2021-10-28 | 650 | $37.97 | 650 | 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) | $20.89 | 2029-10-24 | 25,000 | 25,000 | Direct | |
| Common Stock | Options (2020) | $14.85 | 2030-03-18 | 4,000 | 4,000 | Direct | |
| Common Stock | Options (2021) | $51.75 | 2031-02-18 | 4,500 | 4,500 | Direct | |
| Common Stock | Options (2021) | $47.76 | 2031-05-03 | 12,000 | 12,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2029-10-24 | 25,000 | 25,000 | Direct |
| 2030-03-18 | 4,000 | 4,000 | Direct |
| 2031-02-18 | 4,500 | 4,500 | Direct |
| 2031-05-03 | 12,000 | 12,000 | Direct |
Footnotes
- 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, 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.
Billionaire Hedge Funds
