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