SEC Form 4 · accession 0001140361-17-043038
Turning Point Brands, Inc. · TPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
H.C. Charles Diao
Director
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 8:04 pm EST
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 StockF4 | Nov 13, 2017 | P | 7,697 | $15.91 | A | 11,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (2014)F3,F1 | $3.83 | holding | — | — | — | — | Aug 8, 2024 | Common Stock | 10,432 | 10,432 | D |
| Options (2013)F3,F2 | $3.83 | holding | — | — | — | — | Apr 5, 2023 | Common Stock | 31,296 | 31,296 | D |
Explanation of responses
- 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 April 5, 2013, 16.66% of the underlying shares on December 31, 2013, 16.66% of the underlying shares on December 31, 2014 and the remaining 16.66% of the underlying shares on December 31, 2015.
- F3Granted pursuant to the issuer's 2006 Equity Incentive Plan.
- F4Weighted average purchase price. On 11/13/17, the reporting person purchased the shares within a range of $15.84 to $15.939. 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 purchased at each separate price.