0001567619-18-004571.txt : 20181025
0001567619-18-004571.hdr.sgml : 20181025
20181025172237
ACCESSION NUMBER: 0001567619-18-004571
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181024
FILED AS OF DATE: 20181025
DATE AS OF CHANGE: 20181025
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: 181139731
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
doc1.xml
FORM 4
X0306
4
2018-10-24
0
0001290677
Turning Point Brands, Inc.
TPB
0001660136
Murray James Michael
5201 INTERCHANGE WAY
LOUISVILLE
KY
40229
0
1
0
0
Senior VP, Business Planning
Common Stock
2018-10-24
4
M
0
1650
3.83
A
31946
D
Common Stock
2018-10-24
4
S
0
1000
40.76
D
30946
D
Options (2011)
3.83
2018-10-24
4
M
0
1650
0
D
2021-08-25
Common Stock
1650
44191
D
Options (2018)
21.21
2028-03-07
Common Stock
7500
7500
D
Options (2017)
15.41
2027-05-17
Common Stock
6000
6000
D
Options (2014)
3.83
2024-08-08
Common Stock
29731
29731
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.
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 10/24/2018, the reporting person sold the shares within a range of $40.29 to $41.14. 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.
James M. Murray
2018-10-25