Filing Details
- Accession Number:
- 0001437749-25-020139
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2025-06-12 08:44:55
- Reporting Period:
- 2025-06-09
- Filing Date:
- 2025-06-12
- Accepted Time:
- 2025-06-12 08:44:55
- Original Submission Date:
- 2025-06-11
- 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 |
|---|---|---|---|---|---|---|---|
| 1831600 | Brittani Cushman | 5201 Interchange Way Louisville KY 40229 | Sr Vp, General Counsel | 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 | 2025-06-09 | 7,500 | $13.00 | 42,187 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2025-06-09 | 7,500 | $75.89 | 34,687 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2025-06-10 | 7,500 | $13.00 | 42,187 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2025-06-10 | 7,500 | $74.36 | 34,687 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options | Disposition | 2025-06-09 | 7,500 | $13.00 | 10,000 | $13.00 |
| Common Stock | Options | Disposition | 2025-06-10 | 7,500 | $13.00 | 10,000 | $13.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,500 | 2027-02-14 | No | 4 | M | Direct | |
| 2,500 | 2027-02-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 407 | Indirect | By Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Options | $30.46 | 2032-03-14 | 8,000 | 8,000 | Direct | |
| Common Stock | Options | $51.75 | 2031-02-18 | 7,000 | 7,000 | Direct | |
| Common Stock | Options | $14.85 | 2030-03-18 | 6,000 | 6,000 | Direct | |
| Common Stock | Options | $47.58 | 2029-03-20 | 4,800 | 4,800 | Direct | |
| Common Stock | Options | $21.21 | 2028-03-07 | 4,500 | 4,500 | Direct | |
| Common Stock | Options | $15.41 | 2027-05-14 | 3,250 | 3,250 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2032-03-14 | 8,000 | 8,000 | Direct |
| 2031-02-18 | 7,000 | 7,000 | Direct |
| 2030-03-18 | 6,000 | 6,000 | Direct |
| 2029-03-20 | 4,800 | 4,800 | Direct |
| 2028-03-07 | 4,500 | 4,500 | Direct |
| 2027-05-14 | 3,250 | 3,250 | Direct |
Footnotes
- The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
- 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, 2022, 33% of the underlying shares on January 1, 2023 and 33% of the underlying shares on January 1, 2024.
- 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, 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, 2019, 33% of the underlying shares on January 1, 2020 and 33% of the underlying shares on January 1, 2021.
- The options vested and became 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, 2023, 33% of the underlying shares on January 1, 2024 and 33% of the underlying shares on January 1, 2025.
- Granted pursuant to the issuer's 2021 Equity Incentive Plan.
- The reported transaction involved the reporting person's exercise of 7,500 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan. The total reported in Column 5 includes 9,434 restricted stock units and 32,753 shares of common stock.
- The reported transaction involved the reporting person's disposition of the exercised 7,500 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan.
- The original Form 4, filed on June 11, 2025, is being amended solely to correct an administrative error that incorrectly reported the reporting person's indirect ownership number of units, due to a missed decimal. The total reported in Column 5 is correctly recited as 406.806.
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