0001140361-18-018238.txt : 20180411
0001140361-18-018238.hdr.sgml : 20180411
20180411175641
ACCESSION NUMBER: 0001140361-18-018238
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180409
FILED AS OF DATE: 20180411
DATE AS OF CHANGE: 20180411
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Murray James Michael
CENTRAL INDEX KEY: 0001660136
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37763
FILM NUMBER: 18750864
MAIL ADDRESS:
STREET 1: 5201 INTERCHANGE WAY
CITY: LOUISVILLE
STATE: KY
ZIP: 40229
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Turning Point Brands, Inc.
CENTRAL INDEX KEY: 0001290677
STANDARD INDUSTRIAL CLASSIFICATION: TOBACCO PRODUCTS [2100]
IRS NUMBER: 133961898
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5201 INTERCHANGE WAY
CITY: LOUISVILLE
STATE: KY
ZIP: 40229
BUSINESS PHONE: (502) 778-4421
MAIL ADDRESS:
STREET 1: 5201 INTERCHANGE WAY
CITY: LOUISVILLE
STATE: KY
ZIP: 40229
FORMER COMPANY:
FORMER CONFORMED NAME: North Atlantic Holding Company, Inc.
DATE OF NAME CHANGE: 20040517
4
1
form4.xml
FORM 4
X0306
4
2018-04-09
0001290677
Turning Point Brands, Inc.
TPB
0001660136
Murray James Michael
TURNING POINT BRANDS, INC.
5201 INTERCHANGE WAY
LOUISVILLE
KY
40229
true
Sr. VP, Business Planning
Common Stock
2018-04-09
4
M
0
800
1.06
A
21729
D
Common Stock
2018-04-09
4
S
0
300
20.19
D
21429
D
Common Stock
2018-04-10
4
M
0
400
1.06
A
21829
D
Common Stock
2018-04-10
4
S
0
150
20.65
D
21679
D
Common Stock
2018-04-11
4
M
0
400
1.06
A
22079
D
Common Stock
2018-04-11
4
S
0
150
21.27
D
21929
D
Options
1.06
2018-04-09
4
M
0
800
0
D
2018-11-04
Common Stock
800
6664
D
Options
1.06
2018-04-10
4
M
0
400
0
D
2018-11-04
Common Stock
400
6264
D
Options
1.06
2018-04-11
4
M
0
400
0
D
2018-11-04
Common Stock
400
5864
D
Options
21.21
2028-03-07
Common Stock
7500
7500
D
Options
15.41
2027-05-17
Common Stock
6000
6000
D
Options
3.83
2024-08-08
Common Stock
29731
29731
D
Options
3.83
2021-08-25
Common Stock
62591
62591
D
The 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.
The 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.
The 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.
The 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.
The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.
Granted pursuant to the issuer's 2015 Equity Incentive Plan.
Granted pursuant to the issuer's 2006 Equity Incentive Plan.
Weighted average sale price. On 4/9/2018, the reporting person sold the shares within a range of $20.11 to $20.29. 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.
Weighted average sale price. On 4/11/2018, the reporting person sold the shares within a range of $21.26 to $21.30. 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.
/s/ James M. Murray
2018-04-11