Filing Details
- Accession Number:
- 0001567619-21-018972
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-10-29 14:18:06
- Reporting Period:
- 2021-10-28
- Accepted Time:
- 2021-10-29 14:18:06
- Original Submission Date:
- 2021-10-28
- 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 |
|---|---|---|---|---|---|---|---|
| 1660246 | Lawrence Wexler | 393 Carter Street Canaan CT 06840 | President And Ceo | Yes | 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 | 2021-10-28 | 1,500 | $37.95 | 354,470 | 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 (2021) | $51.75 | 2031-02-18 | 15,900 | 15,900 | Direct | |
| Common Stock | Options 2020 | $14.85 | 2030-03-18 | 20,000 | 20,000 | Direct | |
| Common Stock | Options (2019) | $47.58 | 2029-03-20 | 35,500 | 35,500 | Direct | |
| Common Stock | Options (2018) | $21.21 | 2028-03-07 | 26,500 | 26,500 | Direct | |
| Common Stock | Options (2017) | $15.41 | 2027-05-17 | 16,819 | 16,819 | Direct | |
| Common Stock | Options (2014) | $3.83 | 2024-08-08 | 4,695 | 4,695 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2031-02-18 | 15,900 | 15,900 | Direct |
| 2030-03-18 | 20,000 | 20,000 | Direct |
| 2029-03-20 | 35,500 | 35,500 | Direct |
| 2028-03-07 | 26,500 | 26,500 | Direct |
| 2027-05-17 | 16,819 | 16,819 | Direct |
| 2024-08-08 | 4,695 | 4,695 | 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 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 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.
- Granted pursuant to the issuer's 2006 Equity Incentive Plan.
- Granted pursuant to the issuer's 2015 Equity Incentive Plan.
- The options vest and become exercisable as to 34% of the underlying shares on January 1, 2020, 33% of the underlying shares on January 1, 2021 and 33% of the underlying shares on January 1, 2022.
- The options vest and become exercisable as to 34% of the underlying shares on January 1, 2021, 33% of the underlying shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023.
- The options vest and become exercisable as to 34% of the underlying shares on January 1, 2022, 33% of the underlying shares on January 1, 2023 and 33% of the underlying shares on January 1, 2024.
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