SEC Form 4 · accession 0001140361-16-078030
Turning Point Brands, Inc. · TPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Stegeman
Officer — Sr. VP, CFO and CAO
Period of report
May 11, 2016
Accepted (ET)
Aug 29, 2016 · 12:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001290677
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 11, 2016 | A | 141 | $0.00 | A | 141 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (right to buy)F1 | $9.26 | Aug 10, 2016 | A | 53,996 | A | — | Aug 9, 2026 | Common Stock | 53,996 | 53,996 | D |
Explanation of responses
- F1Granted pursuant to the issuer's 2015 Equity Incentive Plan. Fifty percent (50%) of the options are immediately exercisable, and twenty-five percent (25%) of the options become exercisable on each of the first and second anniversaries of the grant date.