Filing Details

Accession Number:
0001567619-19-017754
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-09-03 14:16:25
Reporting Period:
2019-08-29
Accepted Time:
2019-09-03 14:16:25
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 5201 Interchange Way
Louisville KY 40229
Yes 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 2019-08-29 1,000 $35.84 17,000 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
  1. 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.
  2. 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.
  3. Granted pursuant to the issuer's 2006 Equity Incentive Plan.