Filing Details

Accession Number:
0001140361-18-001456
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-09 16:20:29
Reporting Period:
2018-01-08
Accepted Time:
2018-01-09 16:20:29
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
1659531 Wells James Dobbins Turning Point Brands, Inc.
5201 Interchange Way
Louisville KY 40229
Gc, Secretary, Sr. Vp 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 2018-01-08 10,000 $1.06 94,041 No 4 M Direct
Common Stock Disposition 2018-01-08 9,800 $20.90 84,241 No 4 S Direct
Common Stock Disposition 2018-01-08 200 $22.77 84,041 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Options (2008) Disposition 2018-01-08 10,000 $0.00 10,000 $1.06
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,864 2018-11-04 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 6,850 6,850 Direct
Common Stock Options (2014) $3.83 2024-08-08 5,216 5,216 Direct
Common Stock Options (2011) $3.83 2021-08-25 31,296 31,296 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2027-05-17 6,850 6,850 Direct
2024-08-08 5,216 5,216 Direct
2021-08-25 31,296 31,296 Direct
Footnotes
  1. 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.
  2. 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.
  3. The options vested and became exercisable as to 50% of the underlying shares on August 25, 2011, 16.66% of the underlying shares on August 25, 2012, 16.66% of the underlying shares on August 25, 2013 and the remaining 16.66% of the underlying shares on August 25, 2014.
  4. 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.
  5. Granted pursuant to the issuer's 2015 Equity Incentive Plan.
  6. Granted pursuant to the issuer's 2006 Equity Incentive Plan.
  7. Weighted average sale price. On 1/8/2018, the reporting person sold the shares within a range of $21.52 to $22.30. 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.