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