Filing Details
- Accession Number:
- 0001567619-18-007188
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-30 18:37:15
- Reporting Period:
- 2018-11-28
- Accepted Time:
- 2018-11-30 18:37:15
- 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 |
|---|---|---|---|---|---|---|---|
| 1660136 | Michael James Murray | 5201 Interchange Way Louisville KY 40229 | Senior Vp, Business Planning | 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 | 2018-11-28 | 200 | $3.83 | 33,246 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-28 | 200 | $30.00 | 33,046 | 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 (2011) | Disposition | 2018-11-28 | 200 | $0.00 | 200 | $3.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 37,891 | 2021-08-25 | 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 | 7,500 | 7,500 | Direct | |
| Common Stock | Options (2017) | $15.41 | 2027-05-17 | 6,000 | 6,000 | Direct | |
| Common Stock | Options (2014) | $3.83 | 2024-08-08 | 29,731 | 29,731 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-03-07 | 7,500 | 7,500 | Direct |
| 2027-05-17 | 6,000 | 6,000 | Direct |
| 2024-08-08 | 29,731 | 29,731 | 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.
- Granted pursuant to the issuer's 2015 Equity Incentive Plan.
- Granted pursuant to the issuer's 2006 Equity Incentive Plan.
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