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