Filing Details
- Accession Number:
- 0001140361-17-043038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-15 20:04:20
- Reporting Period:
- 2017-11-13
- Accepted Time:
- 2017-11-15 20:04:20
- 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 |
---|---|---|---|---|---|---|---|
1591159 | Charles H.c. Diao | Turning Point Brands, Inc. 5201 Interchange Way Louisville KY 40229 | 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 | 2017-11-13 | 7,697 | $15.91 | 11,000 | 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 (2014) | $3.83 | 2024-08-08 | 10,432 | 10,432 | Direct | |
Common Stock | Options (2013) | $3.83 | 2023-04-05 | 31,296 | 31,296 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2024-08-08 | 10,432 | 10,432 | Direct |
2023-04-05 | 31,296 | 31,296 | Direct |
Footnotes
- 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 April 5, 2013, 16.66% of the underlying shares on December 31, 2013, 16.66% of the underlying shares on December 31, 2014 and the remaining 16.66% of the underlying shares on December 31, 2015.
- Granted pursuant to the issuer's 2006 Equity Incentive Plan.
- Weighted average purchase price. On 11/13/17, the reporting person purchased the shares within a range of $15.84 to $15.939. 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.