0001290677-24-000008.txt : 20240205 0001290677-24-000008.hdr.sgml : 20240205 20240205172229 ACCESSION NUMBER: 0001290677-24-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240201 FILED AS OF DATE: 20240205 DATE AS OF CHANGE: 20240205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wexler Lawrence CENTRAL INDEX KEY: 0001660246 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 24596886 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] ORGANIZATION NAME: 04 Manufacturing 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 X0508 4 2024-02-01 0001290677 Turning Point Brands, Inc. TPB 0001660246 Wexler Lawrence 5201 INTERCHANGE WAY LOUISVILLE KY 40229 true false Common Stock 2024-02-01 4 A 0 21080 24.84 A 381803 D Common Stock 2024-02-01 4 F 0 11243 24.84 D 370560 D Common Stock 2024-02-01 4 A 0 934 24.84 A 371494 D Options 51.75 2031-02-18 Common Stock 15900 15900 D Options 14.85 2030-03-18 Common Stock 20000 20000 D Options 47.58 2029-03-20 Common Stock 35500 35500 D Options 21.21 2028-03-07 Common Stock 26500 26500 D Options 15.41 2027-05-17 Common Stock 16819 16819 D Options 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. Represents shares issued upon settlement of performance restricted stock units granted to the reporting person in March 2019. The compensation committee of the Board of Directors determined that the performance criteria were met on February 1, 2024. The total reported in Column 5 includes 6,691 restricted stock units and 375,112 shares of common stock. The reported transaction involves shares withheld for the payment of taxes related to performance restricted stock units that the performance criteria were met on February 1, 2024. The total reported in Column 5 includes 6,691 restricted stock units and 363,869 shares of common stock. The reported transaction involves shares received as dividends related to performance restricted stock units that the performance criteria were met on February 1, 2024. The total reported in Column 5 includes 6,691 restricted stock units and 364,803 shares of common stock /s/ Lawrence Wexler 2024-02-05