0001290677-23-000009.txt : 20230503 0001290677-23-000009.hdr.sgml : 20230503 20230503204342 ACCESSION NUMBER: 0001290677-23-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230501 FILED AS OF DATE: 20230503 DATE AS OF CHANGE: 20230503 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: 23886020 MAIL ADDRESS: STREET 1: C/O SPECIAL DIVERSIFIED OPPORTUNITIES STREET 2: 1521 CONCORD PIKE, SUITE 301 CITY: WILMINGTON STATE: DE ZIP: 19803 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 4 1 form4.xml X0407 4 2023-05-01 0001290677 Turning Point Brands, Inc. TPB 0001656520 Baxter Gregory H.A. 5201 INTERCHANGE WAY LOUISVILLE KY 40229 true false Common Stock 2023-05-01 4 F 0 892 23.65 D 36492 D Common Stock 2023-05-01 4 A 0 24 23.65 A 36516 D Options (2014) 3.83 2024-08-08 Common Stock 14344 14344 D Grant pursuant to the Issuer's 2006 Equity Incentive Plan. 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 reported transaction involves shares withheld for the payment of taxes related to restricted stock units that have vested on 5/1/2023. The reported transaction involves shares received as dividends related to restricted stock units that have vested on 5/1/2023. /s/ Gregory H.A. Baxter 2023-05-03