0001290677-24-000023.txt : 20240305
0001290677-24-000023.hdr.sgml : 20240305
20240305212531
ACCESSION NUMBER: 0001290677-24-000023
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240301
FILED AS OF DATE: 20240305
DATE AS OF CHANGE: 20240305
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Purdy Graham
CENTRAL INDEX KEY: 0001794878
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37763
FILM NUMBER: 24724145
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]
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
2024-03-01
0001290677
Turning Point Brands, Inc.
TPB
0001794878
Purdy Graham
5201 INTERCHANGE WAY
LOUISVILLE
KY
40229
true
true
President and CEO
false
Common Stock
2024-03-01
4
A
0
8090
26.52
A
189409
D
Common Stock
2024-03-01
4
F
0
1969
26.52
D
187440
D
Common Stock
2024-03-01
4
A
0
22624
26.52
A
210064
D
Options
30.46
2032-03-14
Common Stock
12000
12000
D
Options
51.75
2031-02-18
Common Stock
9000
9000
D
Options
14.85
2030-03-18
Common Stock
11000
11000
D
Options
47.58
2029-03-20
Common Stock
5500
5500
D
Options
21.21
2028-03-07
Common Stock
8900
8900
D
Options
15.41
2027-05-17
Common Stock
5000
5000
D
Options
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.
Represents shares issued upon settlement of performance restricted stock units granted to the reporting person in May 2023. The compensation committee of the Board of Directors determined that the performance criteria were met on March 1, 2024. The total reported in Column 5 includes 29,466 restricted stock units and 159,943 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 March 1, 2024. The total reported in Column 5 includes 29,466 restricted stock units and 157,974 shares of common stock.
The reported transaction involved the reporting person's receipt of a grant of 22,624 restricted stock units under Turning Point Brands, Inc,'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 52,090 restricted stock units and 157,974 shares of common stock.
/s/ Graham Purdy
2024-03-05