0001290677-23-000034.txt : 20230510 0001290677-23-000034.hdr.sgml : 20230510 20230510211627 ACCESSION NUMBER: 0001290677-23-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230508 FILED AS OF DATE: 20230510 DATE AS OF CHANGE: 20230510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wexler Lawrence CENTRAL INDEX KEY: 0001660246 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 23908553 MAIL ADDRESS: STREET 1: 393 CARTER STREET CITY: NEW CANAAN STATE: CT ZIP: 06840 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 2023-05-08 0001290677 Turning Point Brands, Inc. TPB 0001660246 Wexler Lawrence 393 CARTER STREET NEW CANAAN CT 06840 true false Common Stock 2023-05-08 4 A 0 3216 21.77 A 360723 D Options (2021) 51.75 2031-02-18 Common Stock 15900 15900 D Options (2020) 14.85 2030-03-18 Common Stock 20000 20000 D Options (2019) 47.58 2029-03-20 Common Stock 35500 35500 D Options (2018) 21.21 2028-03-07 Common Stock 26500 26500 D Options (2017) 15.41 2027-05-17 Common Stock 16819 16819 D Options (2014) 3.83 2024-08-08 Common Stock 4695 4695 D 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. The reported transaction involved the reporting person's receipt of a grant of 3,216 restricted stock units under Turning Point Brands, Inc,'s 2021 Equity Incentive Plan. The total reported in Column 5 includes the newly 3,216 awarded restricted stock units and 357,507 shares of common stock. /s/ Lawrence Wexler 2023-05-10