0001567619-21-018972.txt : 20211029 0001567619-21-018972.hdr.sgml : 20211029 20211029141806 ACCESSION NUMBER: 0001567619-21-018972 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211028 FILED AS OF DATE: 20211029 DATE AS OF CHANGE: 20211029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wexler Lawrence CENTRAL INDEX KEY: 0001660246 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 211362367 MAIL ADDRESS: STREET 1: 393 CARTER STREET CITY: NEW CANAAN STATE: CT ZIP: 06840 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/A 1 doc1.xml FORM 4/A X0306 4/A 2021-10-28 2021-10-28 0 0001290677 Turning Point Brands, Inc. TPB 0001660246 Wexler Lawrence 393 CARTER STREET CANAAN CT 06840 1 1 0 0 President and CEO Common Stock 2021-10-28 4 P 0 1500 37.9499 A 354470 D Options (2021) 51.75 2031-02-18 Common Stock 15900 15900 D Options 2020 14.85 2030-03-18 Common Stock 20000 20000 D Options (2019) 47.58 2029-03-20 Common Stock 35500 35500 D Options (2018) 21.21 2028-03-07 Common Stock 26500 26500 D Options (2017) 15.41 2027-05-17 Common Stock 16819 16819 D Options (2014) 3.83 2024-08-08 Common Stock 4695 4695 D 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 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 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. Granted pursuant to the issuer's 2006 Equity Incentive Plan. 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, 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, 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, 2022, 33% of the underlying shares on January 1, 2023 and 33% of the underlying shares on January 1, 2024. 1. This amendment is being filed to correct an error in the transaction code for the subject transaction used in the initial filing. The initial filing mistakenly used a transaction code of A for the subject transaction as opposed to the proper code for the transaction of P. /s/ Lawrence Wexler 2021-10-29