SEC Form 3 · accession 0001567619-16-002333
Turning Point Brands, Inc. · TPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zimmerman Arnold
Director
Period of report
May 10, 2016
Accepted (ET)
May 10, 2016 · 4:59 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 (voting) | holding | — | — | — | 20,864 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (2013)F1 | $3.83 | holding | — | — | — | — | Apr 5, 2023 | Common Stock (voting) | 31,296 | — | D |
| Options (2014)F2 | $3.83 | holding | — | — | — | — | Aug 8, 2024 | Common Stock (voting) | 10,432 | — | D |
Explanation of responses
- F1The 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 16.68% of the underlying shares on December 31, 2015.
- F2The options vested and became exercisable as to 50% of the underlying shares on August 8, 2014 and 25% of the underlying shares on August 8, 2015. The remaining 25% will become exercisable as of August 8, 2016.
Remarks
Exhibit 24.1: Power of Attorney.