0001140361-17-005406.txt : 20170209 0001140361-17-005406.hdr.sgml : 20170209 20170209160951 ACCESSION NUMBER: 0001140361-17-005406 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170207 FILED AS OF DATE: 20170209 DATE AS OF CHANGE: 20170209 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Turning Point Brands, Inc. CENTRAL INDEX KEY: 0001290677 STANDARD INDUSTRIAL CLASSIFICATION: TOBACCO PRODUCTS [2100] IRS NUMBER: 133961898 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5201 INTERCHANGE WAY CITY: LOUISVILLE STATE: KY ZIP: 40229 BUSINESS PHONE: (502) 778-4421 MAIL ADDRESS: STREET 1: 5201 INTERCHANGE WAY CITY: LOUISVILLE STATE: KY ZIP: 40229 FORMER COMPANY: FORMER CONFORMED NAME: North Atlantic Holding Company, Inc. DATE OF NAME CHANGE: 20040517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baxter Gregory H.A. CENTRAL INDEX KEY: 0001656520 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 17587661 MAIL ADDRESS: STREET 1: C/O SPECIAL DIVERSIFIED OPPORTUNITIES STREET 2: 1521 CONCORD PIKE, SUITE 301 CITY: WILMINGTON STATE: DE ZIP: 19803 4 1 form4.xml FORM 4 X0306 4 2017-02-07 0001290677 Turning Point Brands, Inc. TPB 0001656520 Baxter Gregory H.A. 853 SEVENTH AVENUE, APT. 5E NEW YORK NY 10019 true Option (right to buy) 1.06 2017-02-07 4 D 0 23630 11.99 D 2017-09-18 Common Stock 23630 2450 D The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.68% of the underlying shares on January 10, 2010. The options were canceled by mutual agreement of the reporting person and Turning Point Brands, Inc. The reporting person received $283,323.70 as consideration for the cancellation. /s/ Gregory H.A. Baxter 2017-02-09