Filing Details
- Accession Number:
- 0001290677-24-000031
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-03-18 09:17:02
- Reporting Period:
- 2024-03-14
- Accepted Time:
- 2024-03-18 09:17:02
- 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 |
|---|---|---|---|---|---|---|---|
| 2015498 | Lorenzo Plano De | 5201 Interchange Way Louisville KY 40229 | Chief Strategy Officer | 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 | 2023-03-14 | 15,043 | $27.97 | 31,375 | 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 (2020) | $14.85 | 2030-03-18 | 1,386 | 1,386 | Direct | |
| Common Stock | Options (2021) | $51.75 | 2031-02-18 | 2,100 | 2,100 | Direct | |
| Common Stock | Options (2022) | $30.46 | 2032-03-14 | 2,500 | 2,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2030-03-18 | 1,386 | 1,386 | Direct |
| 2031-02-18 | 2,100 | 2,100 | Direct |
| 2032-03-14 | 2,500 | 2,500 | Direct |
Footnotes
- Options granted under the Turning Point Brands, Inc. 2015 Equity Incentive Plan. 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.
- Options granted under the Turning Point Brands, Inc. 2015 Equity Incentive Plan. 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.
- Options granted under the Turning Point Brands, Inc. 2021 Equity Incentive Plan. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2023, 33% of the underlying shares on January 1, 2024 and 33% of the underlying shares on January 1, 2025.
- Weighted average purchase price. On 03/14/2024, the reporting person purchased the shares within a range of $27.90 to $28.06. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price
- The total reported in Column 5 includes 8,523 restricted stock units and 22,852 shares of common stock.
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