SEC Form 4 · accession 0001567619-18-001301
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
Aug 14, 2018
Accepted (ET)
Aug 16, 2018 · 4:49 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 StockF2 | Aug 14, 2018 | S | 850 | $33.41 | D | 1,650 | D | |
| Common StockF3 | Aug 15, 2018 | S | 1,450 | $32.53 | D | 200 | D | |
| Common StockF4 | Aug 15, 2018 | S | 200 | $33.45 | D | 0 | D | |
| Common StockF5,F1 | Aug 15, 2018 | S | 5,000 | $31.82 | D | 435,062 | I | By Helms Management Corp. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.
- F2Weighted average sale price. On 8/14/2018, the reporting person sold the shares within a range of $33.35 to $33.50. 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 sold at each separate price.
- F3Weighted average sale price. On 8/15/2018, the reporting person sold the shares within a range of $32.33 to $33.27. 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 sold at each separate price.
- F4Weighted average sale price. On 8/15/2018, the reporting person sold the shares within a range of $33.40 to $33.49. 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 sold at each separate price.
- F5Weighted average sale price. On 8/15/2018, the reporting person sold the shares within a range of $31.70 to $32.02. 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 sold at each separate price.