0001290677-24-000045.txt : 20240403 0001290677-24-000045.hdr.sgml : 20240403 20240403181843 ACCESSION NUMBER: 0001290677-24-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240401 FILED AS OF DATE: 20240403 DATE AS OF CHANGE: 20240403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: De Plano Lorenzo CENTRAL INDEX KEY: 0002015498 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 24820641 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 2024-04-01 0001290677 Turning Point Brands, Inc. TPB 0002015498 De Plano Lorenzo 5201 INTERCHANGE WAY LOUISVILLE KY 40229 true Chief Strategy Officer false Common Stock 2024-04-01 4 F 0 479 29.12 D 30896 D Options (2020) 14.85 2030-03-18 Common Stock 1386 1386 D Options (2021) 51.75 2031-02-18 Common Stock 2100 2100 D Options (2022) 30.46 2032-03-14 Common Stock 2500 2500 D Options granted under the Turning Point Brands, Inc. 2015 Equity Incentive Plan. 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. Options granted under the Turning Point Brands, Inc. 2015 Equity Incentive Plan. 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. Options granted under the Turning Point Brands, Inc. 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. The reported transaction involves shares withheld for the payment of taxes related to restricted stock units that have vested on 4/1/2024. The total reported in Column 5 includes 7,179 restricted stock units and 23,717 shares of common stock. /s/ Lorenzo De Plano 2024-04-03