0001290677-24-000029.txt : 20240313 0001290677-24-000029.hdr.sgml : 20240313 20240313214208 ACCESSION NUMBER: 0001290677-24-000029 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240311 FILED AS OF DATE: 20240313 DATE AS OF CHANGE: 20240313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: De Plano Lorenzo CENTRAL INDEX KEY: 0002015498 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 24747757 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 3 1 form3.xml X0206 3 2024-03-11 0 0001290677 Turning Point Brands, Inc. TPB 0002015498 De Plano Lorenzo 5201 INTERCHANGE WAY LOUISVILLE KY 40229 true Chief Strategy Officer Common Stock 16332 D Options (2020) 14.85 2030-03-18 Common Stock 1386 D Options (2021) 51.75 2031-02-18 Common Stock 2100 D Options (2022) 30.46 2032-03-14 Common Stock 2500 D The total reported in Column 2 includes 8,523 RSUs and 7,809 shares of Common Stock Options granted under the Turning Point Brands, Inc. 2015 Equity Incentive Plan. 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. Options granted under the Turning Point Brands, Inc. 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. Options granted under the Turning Point Brands, Inc. 2021 Equity Incentive Plan. 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. /s/ Lorenzo De Plano 2024-03-13