0001567619-19-017754.txt : 20190903
0001567619-19-017754.hdr.sgml : 20190903
20190903141625
ACCESSION NUMBER: 0001567619-19-017754
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190829
FILED AS OF DATE: 20190903
DATE AS OF CHANGE: 20190903
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: 191071820
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
2019-08-29
0
0001290677
Turning Point Brands, Inc.
TPB
0001591159
Diao H.C. Charles
5201 INTERCHANGE WAY
LOUISVILLE
KY
40229
1
0
0
0
Common Stock
2019-08-29
4
P
0
1000
35.84
A
17000
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.
/s/ H.C. Charles Diao
2019-09-03