0001437749-25-020139.txt : 20250612 0001437749-25-020139.hdr.sgml : 20250612 20250612084455 ACCESSION NUMBER: 0001437749-25-020139 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20250609 FILED AS OF DATE: 20250612 DATE AS OF CHANGE: 20250612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cushman Brittani CENTRAL INDEX KEY: 0001831600 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 251041754 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 EIN: 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/A 1 rdgdoc.xml FORM 4/A X0508 4/A 2025-06-09 2025-06-11 0001290677 Turning Point Brands, Inc. TPB 0001831600 Cushman Brittani 5201 INTERCHANGE WAY LOUISVILLE KY 40229 1 Sr VP, General Counsel 0 Common Stock 2025-06-09 4 M 0 7500 13 A 42187 D Common Stock 2025-06-09 4 S 0 7500 75.89 D 34687 D Common Stock 2025-06-10 4 M 0 7500 13 A 42187 D Common Stock 2025-06-10 4 S 0 7500 74.36 D 34687 D Common Stock 406.806 I By Spouse Options 30.4600 2032-03-14 Common Stock 8000 8000 D Options 51.7500 2031-02-18 Common Stock 7000 7000 D Options 14.8500 2030-03-18 Common Stock 6000 6000 D Options 47.5800 2029-03-20 Common Stock 4800 4800 D Options 21.2100 2028-03-07 Common Stock 4500 4500 D Options 15.4100 2027-05-14 Common Stock 3250 3250 D Options 13 2025-06-09 4 M 0 7500 13 D 2027-02-14 Common Stock 10000 2500 D Options 13 2025-06-10 4 M 0 7500 13 D 2027-02-14 Common Stock 10000 2500 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 vested and became 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. The reported transaction involved the reporting person's exercise of 7,500 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan. The total reported in Column 5 includes 9,434 restricted stock units and 32,753 shares of common stock. The reported transaction involved the reporting person's disposition of the exercised 7,500 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan. The original Form 4, filed on June 11, 2025, is being amended solely to correct an administrative error that incorrectly reported the reporting person's indirect ownership number of units, due to a missed decimal. The total reported in Column 5 is correctly recited as 406.806. /s/ Brittani Cushman 2025-06-12