0001567619-18-005416.txt : 20181108 0001567619-18-005416.hdr.sgml : 20181108 20181108155114 ACCESSION NUMBER: 0001567619-18-005416 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181107 FILED AS OF DATE: 20181108 DATE AS OF CHANGE: 20181108 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: 181169529 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 2018-11-07 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 2018-11-07 4 M 0 1650 3.83 A 33246 D Common Stock 2018-11-07 4 S 0 200 36.35 D 33046 D Common Stock 2018-11-07 4 S 0 600 37.49 D 32446 D Common Stock 2018-11-07 4 S 0 100 38.19 D 32346 D Common Stock 2018-11-07 4 S 0 100 39.20 D 32246 D Options (2011) 3.83 2018-11-07 4 M 0 1650 0 D 2021-08-25 Common Stock 1650 40891 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 11/7/2018, the reporting person sold the shares within a range of $36.02 to $36.60. 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 11/7/2018, the reporting person sold the shares within a range of $37.07 to $38.02. 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 2018-11-08