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