Filing Details
- Accession Number:
- 0001140361-18-028561
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-14 14:47:46
- Reporting Period:
- 2018-06-12
- Accepted Time:
- 2018-06-14 14:47:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1659531 | Wells James Dobbins | 5201 Interchange Way Louisville KY 40229 | Gc, Secretary, Sr. Vp | 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 | 2018-06-12 | 5,864 | $1.06 | 89,905 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-12 | 5,864 | $30.21 | 84,041 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 (2008) | Disposition | 2018-06-12 | 5,864 | $0.00 | 0 | $1.06 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 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 (2018) | $21.21 | 2028-03-07 | 9,000 | 9,000 | Direct | |
| 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 |
|---|---|---|---|
| 2028-03-07 | 9,000 | 9,000 | Direct |
| 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
- 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 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 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.
- 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.
- 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 6/12/2018, the reporting person sold the shares within a range of $30.17 to $30.29. 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.
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