0001567619-19-015780.txt : 20190805 0001567619-19-015780.hdr.sgml : 20190805 20190805135823 ACCESSION NUMBER: 0001567619-19-015780 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190805 FILED AS OF DATE: 20190805 DATE AS OF CHANGE: 20190805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Diao H.C. Charles CENTRAL INDEX KEY: 0001591159 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 19998226 MAIL ADDRESS: STREET 1: 1775 TYSONS BOULEVARD CITY: TYSONS STATE: VA ZIP: 22102 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 doc1.xml FORM 4 X0306 4 2019-08-05 0 0001290677 Turning Point Brands, Inc. TPB 0001591159 Diao H.C. Charles 5201 INTERCHANGE WAY LOUISVILLE KY 40229 1 0 0 0 Common Stock 2019-08-02 4 P 0 1000 38.39 A 14000 D Common Stock 2019-08-02 4 P 0 1000 37.00 A 15000 D Options (2014) 3.83 2024-08-08 Common Stock 10432 10432 D Options (2013) 3.83 2023-04-05 Common Stock 31296 31296 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 vested and became exercisable as to 50% of the underlying shares on April 5, 2013, 16.66% of the underlying shares on December 31, 2013, 16.66% of the underlying shares on December 31, 2014 and the remaining 16.66% of the underlying shares on December 31, 2015. Granted pursuant to the issuer's 2006 Equity Incentive Plan. Weighted average purchase price. On 08/02/2019, the reporting person purchased the shares within a range of $38.30 to $38.45. 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 sold at each separate price. /s/ H.C. Charles Diao 2019-08-05