0001140361-18-018701.txt : 20180416 0001140361-18-018701.hdr.sgml : 20180416 20180416213225 ACCESSION NUMBER: 0001140361-18-018701 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180412 FILED AS OF DATE: 20180416 DATE AS OF CHANGE: 20180416 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: 18757794 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 2018-04-12 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 2018-04-12 4 M 0 400 1.06 A 22329 D Common Stock 2018-04-12 4 S 0 150 21.14 D 22179 D Common Stock 2018-04-13 4 M 0 150 1.06 A 22329 D Common Stock 2018-04-13 4 S 0 150 20.89 D 22179 D Common Stock 2018-04-16 4 M 0 650 1.06 A 22829 D Common Stock 2018-04-16 4 S 0 150 21.7 D 22679 D Options (2008) 1.06 2018-04-12 4 M 0 400 0 D 2018-11-04 Common Stock 400 5464 D Options (2008) 1.06 2018-04-13 4 M 0 150 0 D 2018-11-04 Common Stock 150 5314 D Options (2008) 1.06 2018-04-16 4 M 0 650 0 D 2018-11-04 Common Stock 650 4664 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 Options (2011) 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. /s/ James M. Murray 2018-04-16