SEC Form 4 · accession 0001567619-16-002396
Turning Point Brands, Inc. · TPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas F. Helms Jr.
Director · 10% Owner
Period of report
May 13, 2016
Accepted (ET)
May 16, 2016 · 7:12 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)F1,F2 | May 13, 2016 | J | 232,706 | — | A | 1,740,062 | I | By Helms Management Corp. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares acquired by Helms Management Corp. The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.
- F2Pursuant to an agreement with the Issuer, Helms Management Corp. agreed, effective upon the date of the Issuer's initial public offering of shares of Common Stock, to exchange 7% Senior Notes having a principal value plus accrued but unpaid interest of approximately $2,237,051 into the number of shares of Common Stock reported herein.