0001567619-22-009613.txt : 20220506 0001567619-22-009613.hdr.sgml : 20220506 20220505162159 ACCESSION NUMBER: 0001567619-22-009613 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220504 FILED AS OF DATE: 20220505 DATE AS OF CHANGE: 20220505 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: 22896666 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 2022-05-04 0 0001290677 Turning Point Brands, Inc. TPB 0001656520 Baxter Gregory H.A. 5201 INTERCHANGE WAY LOUISVILLE KY 40229 1 0 0 0 Common Stock 2022-05-04 4 F 0 585 31.09 D 37373 D Common Stock 2022-05-04 4 A 0 11 31.09 A 37384 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 involves shares withheld for the payment of taxes related to restricted stock units that have vested on 5/4/2022. The total reported in Column 5 includes the 2,231 restricted stock units and 35,142 shares of common stock. The reported transaction involves shares received as dividends related to restricted stock units that have vested on 5/4/2022. The total reported in Column 5 includes the 2,231 restricted stock units and 35,153 shares of common stock. /s/ Gregory H.A. Baxter 2022-05-05