SEC Form 4 · accession 0001140361-18-012898

Turning Point Brands, Inc. · TPB

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

Reporting owner

Officer — President and CEO · Director

Period of report

Mar 7, 2018

Accepted (ET)

Mar 9, 2018 · 6:40 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 Stock	holding	—	—		—	334,896	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options (2018)^F6,F1	$21.21	Mar 7, 2018	A	26,500	A	—	Mar 7, 2028	Common Stock	26,500	26,500	D
Options (2017)^F6,F2	$15.41	holding	—	—	—	—	May 17, 2027	Common Stock	16,819	16,819	D
Options (2014)^F5,F3	$3.83	holding	—	—	—	—	Aug 8, 2024	Common Stock	4,695	4,695	D
Options (2008)^F5,F4	$1.06	holding	—	—	—	—	Nov 4, 2018	Common Stock	31,296	31,296	D

F1The options vest and become exercisable as to 34% of the underlying shares on January 1, 2019, 33% of the underlying shares on January 1, 2020 and 33% of the underlying shares on January 1, 2021.
F2The options vest and become exercisable as to 34% of the underlying shares on January 1, 2018, 33% of the underlying shares on January 1, 2019 and 33% of the underlying shares on January 1, 2020.
F3The 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.
F4The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.
F5Granted pursuant to the issuer's 2006 Equity Incentive Plan.
F6Granted pursuant to the issuer's 2015 Equity Incentive Plan.