0001567619-22-009439.txt : 20220503 0001567619-22-009439.hdr.sgml : 20220503 20220503171324 ACCESSION NUMBER: 0001567619-22-009439 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220203 FILED AS OF DATE: 20220503 DATE AS OF CHANGE: 20220503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cushman Brittani CENTRAL INDEX KEY: 0001831600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37763 FILM NUMBER: 22888255 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 2022-02-03 0 0001290677 Turning Point Brands, Inc. TPB 0001831600 Cushman Brittani 5201 INTERCHANGE WAY LOUISVILLE KY 40229 0 1 0 0 Sr VP, General Counsel Common Stock 6015 D Common Stock 406.806 I By Spouse Options (2022) 30.46 2032-03-14 Common Stock 8000 8000 D Options (2021) 51.75 2031-02-18 Common Stock 7000 7000 D Options (2020) 14.85 2030-03-18 Common Stock 6000 6000 D Options (2019) 47.58 2029-03-20 Common Stock 4800 4800 D Options (2018) 21.21 2028-03-07 Common Stock 4500 4500 D Options (2017) 15.41 2027-05-17 Common Stock 3250 3250 D Options (2017) 13.00 2027-02-10 Common Stock 20000 20000 D Dividend Equivalent Right 2022-02-03 4 A 0 107 0 A Common Stock 107 107 D Dividend Equivalent Right 2022-04-29 4 D 0 107 D Common Stock 107 0 D The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. 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, 2022, 33% of the underlying shares on January 1, 2023 and 33% of the underlying shares on January 1, 2024. 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, 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, 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 vest and become exercisable as to 34% of the underlying shares on January 1, 2023, 33% of the underlying shares on January 1, 2024 and 33% of the underlying shares on January 1, 2025. Granted pursuant to the issuer's 2021 Equity Incentive Plan. The total reported in Column 5 includes 2,500 awarded restricted stock units and 3,515 shares of common stock. Each dividend equivalent right was the economic equivalent of one share of the Company's common stock. In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 107 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement. On April 29, 2022, the dividend equivalent rights were disposed of and cancelled in exchange for a cash payment equal to $3,610.42 /s/ Brittani Cushman 2022-05-03