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