SEC Form 3 · accession 0001567619-18-003686
Turning Point Brands, Inc. · TPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peggy Hwan Hebard
Director
Period of report
Sep 26, 2018
Accepted (ET)
Oct 4, 2018 · 10:30 am 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 | holding | — | — | — | 3,000 | I | By husband |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (2014)F1 | $3.83 | holding | — | — | — | — | Aug 8, 2024 | Common Stock | 10,432 | — | I |
Explanation of responses
- F1The 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.
Remarks
Exhibit 24.1: Power of Attorney