0001567619-21-010484.txt : 20210517 0001567619-21-010484.hdr.sgml : 20210517 20210517161223 ACCESSION NUMBER: 0001567619-21-010484 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210514 FILED AS OF DATE: 20210517 DATE AS OF CHANGE: 20210517 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: 21930698 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 2021-05-14 0 0001290677 Turning Point Brands, Inc. TPB 0001591159 Diao H.C. Charles 5201 INTERCHANGE WAY LOUISVILLE KY 40229 1 0 0 0 Common Stock 2021-05-14 4 M 0 31296 3.83 A 48296 D Common Stock 2021-05-14 4 F 0 14090 45.79 D 34206 D Options (2014) 3.83 2024-08-08 Common Stock 10432 10432 D Options (2013) 3.83 2021-05-14 4 M 0 31296 0 D 2023-04-05 Common Stock 31296 0 D Restricted Stock Units (2021) 47.86 2022-05-04 2022-05-04 Common Stock 785 785 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. Granted pursuant to the issuer's 2021 Equity Incentive Plan. /s/ H.C. Charles Diao 2021-05-17