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