0001290677-24-000024.txt : 20240305 0001290677-24-000024.hdr.sgml : 20240305 20240305212743 ACCESSION NUMBER: 0001290677-24-000024 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: Wigginton Brian CENTRAL INDEX KEY: 0001734429 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 24724150 MAIL ADDRESS: STREET 1: 5201 INTERCHANGE WAY CITY: LOUISVILLE STATE: KY ZIP: 40229 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 0001734429 Wigginton Brian 5201 INTERCHANGE WAY LOUISVILLE KY 40229 true Sr VP Finance & CAO false Common Stock 2024-03-01 4 A 0 320 26.52 A 7722 D Common Stock 2024-03-01 4 F 0 114 26.52 D 7608 D Common Stock 2024-03-01 4 A 0 3753 26.52 A 11361 D Options 30.46 2032-03-14 Common Stock 2500 2500 D Options 45.05 2031-05-17 Common Stock 2500 2500 D Options 51.75 2031-02-18 Common Stock 1750 1750 D Options 14.85 2030-03-18 Common Stock 2500 2500 D Options 47.58 2029-03-20 Common Stock 400 400 D Options 21.21 2028-03-07 Common Stock 400 400 D Options 15.41 2027-05-15 Common Stock 750 750 D 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, 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, 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, 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. Granted pursuant to the issuer's 2021 Equity Incentive Plan. 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 4,978 restricted stock units and 2,744 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 4,978 restricted stock units and 2,630 shares of common stock. The reported transaction involved the reporting person's receipt of a grant of 3,753 restricted stock units under Turning Point Brands, Inc,'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 8,731 awarded restricted stock units and 2,630 shares of common stock. /s/ Brian Wigginton 2024-03-05