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