0001290677-23-000039.txt : 20230515 0001290677-23-000039.hdr.sgml : 20230515 20230515212130 ACCESSION NUMBER: 0001290677-23-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230515 FILED AS OF DATE: 20230515 DATE AS OF CHANGE: 20230515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Purdy Graham CENTRAL INDEX KEY: 0001794878 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 23925351 MAIL ADDRESS: STREET 1: 12442 POPLAR WOOD DRIVE CITY: GOSHEN STATE: KY ZIP: 40026 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 2023-05-15 0001290677 Turning Point Brands, Inc. TPB 0001794878 Purdy Graham 5201 INTERCHANGE WAY LOUISVILLE KY 40229 true true President and CEO false Common Stock 2023-05-15 4 P 0 1000 20.7807 A 174812 D Options (2022) 30.46 2032-03-14 Common Stock 12000 12000 D Options (2021) 51.75 2031-02-18 Common Stock 9000 9000 D Options (2020) 14.85 2030-03-18 Common Stock 11000 11000 D Options (2019) 47.58 2029-03-20 Common Stock 5500 5500 D Options (2018) 21.21 2028-03-07 Common Stock 8900 8900 D Options (2017) 15.41 2027-05-17 Common Stock 5000 5000 D Options (2014) 3.83 2024-08-08 Common Stock 5216 5216 D Granted pursuant to the issuer's 2006 Equity Plan Granted pursuant to the issuer's 2021 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. 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, 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. 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 options vest and become exercisable as to 34% of the underlying shares on January 1, 2023, 33% of the underlying shares on January 1, 2024, and 33% of the underlying shares on January 1, 2025. The total reported in Column 5 includes 29,466 restricted stock units and 145,346 shares of common stock. Weighted average sale price. On 05/15/2023, the reporting person purchased the shares within a range of $20.74 to $20.79. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price /s/ Graham Purdy 2023-05-15