SEC Form 4 · accession 0001567619-18-007188

Turning Point Brands, Inc. · TPB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Senior VP, Business Planning

Period of report

Nov 28, 2018

Accepted (ET)

Nov 30, 2018 · 6:37 pm EST

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	Nov 28, 2018	M	200	$3.83	A	33,246	D
Common Stock	Nov 28, 2018	S	200	$30.00	D	33,046	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options (2011)^F6,F4	$3.83	Nov 28, 2018	M	200	D	—	Aug 25, 2021	Common Stock	200	37,891	D
Options (2018)^F5,F1	$21.21	holding	—	—	—	—	Mar 7, 2028	Common Stock	7,500	7,500	D
Options (2017)^F5,F2	$15.41	holding	—	—	—	—	May 17, 2027	Common Stock	6,000	6,000	D
Options (2014)^F6,F3	$3.83	holding	—	—	—	—	Aug 8, 2024	Common Stock	29,731	29,731	D

F1The options vest and become exercisable as to 34% of the underlying shares on January 1, 2019, 33% of the underlying shares on January 1, 2020 and 33% of the underlying shares on January 1, 2021.
F2The options vest and become exercisable as to 34% of the underlying shares on January 1, 2018, 33% of the underlying shares on January 1, 2019 and 33% of the underlying shares on January 1, 2020.
F3The 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.
F4The options vested and became exercisable as to 50% of the underlying shares on August 25, 2011, 16.66% of the underlying shares on August 25, 2012, 16.66% of the underlying shares on August 25, 2013 and the remaining 16.66% of the underlying shares on August 25, 2014.
F5Granted pursuant to the issuer's 2015 Equity Incentive Plan.
F6Granted pursuant to the issuer's 2006 Equity Incentive Plan.