SEC Form 4/A · accession 0001567619-18-002461
Turning Point Brands, Inc. · TPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Standard General L.P.
10% Owner
Period of report
Sep 5, 2018
Accepted (ET)
Sep 12, 2018 · 5:09 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 StockF1,F2,F3,F4 | Sep 5, 2018 | P | 153,079 | $34.60 | A | 553,079 | I | See Footnotes |
| Common Stock, $.01 par value ("Common Stock")F2,F3,F4,F5 | holding | — | — | — | 9,842,373 | I | See Footnotes | |
| Common StockF6 | holding | — | — | — | 105,319 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of Common Stock were acquired in exchange for 345,543 shares Class A Common Stock of Standard Diversified Inc (the "Standard Diversified Shares"). The closing prices of the Standard Diversified Shares and of the Common Stock as of the closing of the transaction reported herein were $15.58 and $34.60, respectively.
- F2The securities reported herein are beneficially owned by Standard General L.P. ("Standard General") in its capacity as investment manager to private investment vehicles. Mr. Kim is a director of the general partner of the general partner of Standard General and Chief Investment Officer of Standard General, and in such capacities may be deemed to indirectly beneficially own the securities reported herein.
- F3Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
- F4This Form 4 does not report any pecuniary interest of David Glazek in securities of the Issuer. Mr. Glazek, a director of the Issuer and a partner of Standard General, separately files reports under Section 16.
- F5Shares owned directly by Standard Diversified Inc. ("SDI"). As a result of their beneficial ownership of securities of SDI, the Reporting Persons may be deemed to beneficially own shares of Common Stock of Turning Point held by SDI.
- F6Shares held directly by Standard General.
Remarks
* This amendment is being filed to correct the group of indirectly held shares to which the reported transaction relates.