0001567619-20-017875.txt : 20201015 0001567619-20-017875.hdr.sgml : 20201015 20201015173054 ACCESSION NUMBER: 0001567619-20-017875 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201013 FILED AS OF DATE: 20201015 DATE AS OF CHANGE: 20201015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baxter Gregory H.A. CENTRAL INDEX KEY: 0001656520 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 201242206 MAIL ADDRESS: STREET 1: C/O SPECIAL DIVERSIFIED OPPORTUNITIES STREET 2: 1521 CONCORD PIKE, SUITE 301 CITY: WILMINGTON STATE: DE ZIP: 19803 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 2020-10-13 0 0001290677 Turning Point Brands, Inc. TPB 0001656520 Baxter Gregory H.A. 5201 INTERCHANGE WAY LOUISVILLE KY 40229 1 0 0 0 Common Stock 2020-10-13 4 M 0 31296 3.83 A 46380 D Common Stock 2020-10-13 4 F 0 12117 30.75 D 34263 D Option (2011) 3.83 2020-10-13 4 M 0 31296 0 D 2020-12-31 Common Stock 31296 0 D Options (2014) 3.83 2024-08-08 Common Stock 14344 14344 D Grant pursuant to the Issuer's 2006 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. The options vested and became exercisable as to 50% of the underlying shares on February 15, 2011, 16.68% of the underlying shares on December 31, 2011, 16.66% of the underlying shares on December 31, 2012 and the remaining 16.66% of the underlying shares on December 31, 2013. /s/ Gregory H.A. Baxter 2020-10-15