0001567619-22-009449.txt : 20220503
0001567619-22-009449.hdr.sgml : 20220503
20220503173453
ACCESSION NUMBER: 0001567619-22-009449
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: Diao H.C. Charles
CENTRAL INDEX KEY: 0001591159
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37763
FILM NUMBER: 22888565
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
2022-04-29
0
0001290677
Turning Point Brands, Inc.
TPB
0001591159
Diao H.C. Charles
5201 INTERCHANGE WAY
LOUISVILLE
KY
40229
1
0
0
0
Common Stock
2022-04-29
4
A
0
1195
0
A
36186
D
Common Stock
2022-04-29
4
M
0
10432
3.83
A
46618
D
Common Stock
2022-04-29
4
F
0
4937
31.39
D
41681
D
Common Stock
2022-05-03
4
D
0
5253
30.73
D
36428
D
Common Stock
2022-05-03
4
D
0
242
31.52
D
36186
D
Options (2014)
3.83
2022-04-29
4
M
0
10432
0
D
2024-08-08
Common Stock
10432
0
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.
Granted pursuant to the issuer's 2006 Equity Incentive Plan.
The reported transaction involved the reporting person's receipt of a grant of 1,195 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 1,195 awarded restricted stock units, 785 restricted stock units previously reported in Table II and 34,206 shares of common stock.
Weighted average sale price. On 5/3/2022, the reporting person sold the shares within a range of $30.335 to $31.17. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Weighted average sale price. On 5/3/2022, the reporting person sold the shares within a range of $31.51 to $31.53. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
/s/ H.C. Charles Diao
2022-05-03