0001567619-22-009432.txt : 20220503
0001567619-22-009432.hdr.sgml : 20220503
20220503170754
ACCESSION NUMBER: 0001567619-22-009432
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220429
FILED AS OF DATE: 20220503
DATE AS OF CHANGE: 20220503
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: 22888172
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
2022-04-29
0
0001290677
Turning Point Brands, Inc.
TPB
0001656520
Baxter Gregory H.A.
5201 INTERCHANGE WAY
LOUISVILLE
KY
40229
1
0
0
0
Common Stock
2022-04-29
4
A
0
2231
0
A
37958
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 reported transaction involved the reporting person's receipt of a grant of 2,231 restricted stock units under Turning Point Brands, Inc,'s 2021 Equity Incentive Plan. The reporting person has previously reported prior awards of restricted units in Table II of Form 4. The total reported in Column 5 includes the newly 2,231 awarded restricted stock units, 1,464 restricted stock units previously reported in Table II and 34,263 shares of common stock.
/s/ Gregory H.A. Baxter
2022-05-03