0001290677-24-000021.txt : 20240305 0001290677-24-000021.hdr.sgml : 20240305 20240305212251 ACCESSION NUMBER: 0001290677-24-000021 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240301 FILED AS OF DATE: 20240305 DATE AS OF CHANGE: 20240305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cushman Brittani CENTRAL INDEX KEY: 0001831600 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 24724132 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] ORGANIZATION NAME: 04 Manufacturing 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 X0508 4 2024-03-01 0001290677 Turning Point Brands, Inc. TPB 0001831600 Cushman Brittani 5201 INTERCHANGE WAY LOUISVILLE KY 40229 true Sr VP, General Counsel false Common Stock 2024-03-01 4 A 0 1946 26.52 A 20774 D Common Stock 2024-03-01 4 F 0 643 26.52 D 20131 D Common Stock 2024-03-01 4 A 0 5441 26.52 A 25572 D Common Stock 406.806 I By Spouse Options 30.46 2032-03-14 Common Stock 8000 8000 D Options 51.75 2031-02-18 Common Stock 7000 7000 D Options 14.85 2030-03-18 Common Stock 6000 6000 D Options 47.58 2029-03-20 Common Stock 4800 4800 D Options 21.21 2028-03-07 Common Stock 4500 4500 D Options 15.41 2027-05-14 Common Stock 3250 3250 D Options 13 2027-02-14 Common Stock 20000 20000 D The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. Granted pursuant to the issuer's 2015 Equity Incentive Plan The options vest and become exercisable as to 34% of the underlying shares on January 1, 2022, 33% of the underlying shares on January 1, 2023 and 33% of the underlying shares on January 1, 2024. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2021, 33% of the underlying shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2020, 33% of the underlying shares on January 1, 2021 and 33% of the underlying shares on January 1, 2022. 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 vest and become exercisable as to 34% of the underlying shares on January 1, 2023, 33% of the underlying shares on January 1, 2024 and 33% of the underlying shares on January 1, 2025. Granted pursuant to the issuer's 2021 Equity Incentive Plan. Represents shares issued upon settlement of performance restricted stock units granted to the reporting person in May 2023. The compensation committee of the Board of Directors determined that the performance criteria were met on March 1, 2024. The total reported in Column 5 includes 8,985 restricted stock units and 11,789 shares of common stock. The reported transaction involves shares withheld for the payment of taxes related to performance restricted stock units that the performance criteria were met on March 1, 2024. The total reported in Column 5 includes 8,985 restricted stock units and 11,146 shares of common stock. The reported transaction involved the reporting person's receipt of a grant of 5,441 restricted stock units under Turning Point Brands, Inc,'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 14,426 restricted stock units and 11,146 shares of common stock. /s/ Brittani Cushman 2024-03-05