SEC Form 4 · accession 0001140361-17-032626

Turning Point Brands, Inc. · TPB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Aug 16, 2017

Accepted (ET)

Aug 17, 2017 · 5:16 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	Aug 16, 2017	M	2,450	$1.06	A	2,450	D
Common Stock	Aug 16, 2017	F	157	$16.52	D	2,293	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options (2007)^F4,F3	$1.06	Aug 16, 2017	M	2,450	D	—	Sep 18, 2017	Common Stock	2,450	0	D
Options (2014)^F4,F1	$3.83	holding	—	—	—	—	Aug 8, 2024	Common Stock	14,344	14,344	D
Options (2011)^F4,F2	$3.83	holding	—	—	—	—	Feb 15, 2021	Common Stock	31,296	31,296	D

F1The 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.
F2The options vested and became exercisable as to 50% of the underlying shares on February 15, 2011, 16.68% of the underlying shares on December 31, 2011, 16.66% of the underlying shares on December 31, 2012 and the remaining 16.66% of the underlying shares on December 31, 2013.
F3The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.
F4Granted pursuant to the issuer's 2006 Equity Incentive Plan.