SEC Form 4 · accession 0001140361-18-001082
Turning Point Brands, Inc. · TPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas F. Helms Jr.
Director
Period of report
Jan 3, 2018
Accepted (ET)
Jan 5, 2018 · 4:47 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 StockF1,F3 | Jan 3, 2018 | S | 100,000 | $20.80 | D | 540,062 | I | By Helms Management Corp. |
| Common StockF2,F3 | Jan 3, 2018 | S | 50,000 | $20.80 | D | 490,062 | I | By Helms Management Corp. |
| Common Stock | holding | — | — | — | 2,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares disposed of in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $20.80 per share.
- F2Shares disposed of in a private sale. For such purposes, the shares of Common Stock were valued at $20.80 per share.
- F3The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.