Filing Details
- Accession Number:
- 0001140361-17-022425
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-25 20:45:46
- Reporting Period:
- 2017-05-24
- Filing Date:
- 2017-05-25
- Accepted Time:
- 2017-05-25 20:45:46
- 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 |
---|---|---|---|---|---|---|---|
1660246 | Lawrence Wexler | 393 Carter Street New Canaan CT 06840 | President And Ceo | 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 | 2017-05-24 | 4,000 | $1.06 | 219,137 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-05-24 | 1,758 | $16.41 | 217,379 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2017-05-25 | 225 | $1.06 | 217,604 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-05-25 | 100 | $16.58 | 217,504 | 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 (2007) | Disposition | 2017-05-24 | 4,000 | $0.00 | 4,000 | $1.06 |
Common Stock | Options (2007) | Disposition | 2017-05-25 | 225 | $0.00 | 225 | $1.06 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
224,122 | 2017-09-18 | No | 4 | M | Direct | |
223,897 | 2017-09-18 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Options (2017) | $15.41 | 2027-05-17 | 16,819 | 16,819 | Direct | |
Common Stock | Options (2014) | $3.83 | 2024-08-08 | 4,695 | 4,695 | Direct | |
Common Stock | Options (2008) | $1.06 | 2018-11-04 | 31,296 | 31,296 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2027-05-17 | 16,819 | 16,819 | Direct |
2024-08-08 | 4,695 | 4,695 | Direct |
2018-11-04 | 31,296 | 31,296 | Direct |
Footnotes
- 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 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.
- The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.
- The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.
- Granted pursuant to the issuer's 2015 Equity Incentive Plan.
- Granted pursuant to the issuer's 2006 Equity Incentive Plan.
- Weighted average sale price. On 5/24/2017, the reporting person sold the shares within a range of $16.33 to $16.64. 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 sold at each separate price.