Filing Details

Turning Point Brands, Inc.

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

CUSIP No. 90041L105

 

1

NAMES OF REPORTING PERSONS.

 

Thrivent Financial for Lutherans

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a)     ☐
(b)     ☐

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Wisconsin

NUMBER OF

SHARES

BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

5

SOLE VOTING POWER

38,738⁽¹⁾

6

SHARED VOTING POWER
 

1,500,815⁽²⁾

7

SOLE DISPOSITIVE POWER

38,738⁽¹⁾

8

SHARED DISPOSITIVE POWER

 

1,500,815⁽²⁾

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,539,553^{(1), (2)}

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)

 

☐

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

8.16%⁽³⁾

12

TYPE OF REPORTING PERSON (See Instructions)

IC, IA

 

 

 

 

Turning Point Brands, Inc.

 

 

 

 

(b) Address of Issuer’s Principal Executive Offices:

 

 

5201 Interchange Way

Louisville, KY 40229

901 Marquette Avenue, Suite 2500

Minneapolis, Minnesota 55402

(c) Citizenship:

90041L105

Item 3.

If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

 

(a)

☐

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)

☐

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);

 

(c)

☒

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)

☐

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)

☒

Investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);

An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

Group, in accordance with § 240.13d-1(b)(1)(ii)(J).

Item 10.

Certifications.

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

 

Thrivent Financial for Lutherans