0001567619-18-002679.txt : 20180914 0001567619-18-002679.hdr.sgml : 20180914 20180914182212 ACCESSION NUMBER: 0001567619-18-002679 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180912 FILED AS OF DATE: 20180914 DATE AS OF CHANGE: 20180914 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: 181072097 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 2018-09-12 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 2018-09-12 4 M 0 2500 3.83 A 27046 D Common Stock 2018-09-12 4 S 0 200 40.10 D 26846 D Common Stock 2018-09-12 4 S 0 700 41.14 D 26146 D Common Stock 2018-09-12 4 S 0 100 42.55 D 26046 D Options (2011) 3.83 2018-09-12 4 M 0 2500 0 D 2021-08-25 Common Stock 2500 55091 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 9/12/2018, the reporting person sold the shares within a range of $39.71 to $40.48. 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. Weighted average sale price. On 9/12/2018, the reporting person sold the shares within a range of $40.82 to $41.53. 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 2018-09-14