0001567619-23-003011.txt : 20230214
0001567619-23-003011.hdr.sgml : 20230214
20230214211740
ACCESSION NUMBER: 0001567619-23-003011
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230210
FILED AS OF DATE: 20230214
DATE AS OF CHANGE: 20230214
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wexler Lawrence
CENTRAL INDEX KEY: 0001660246
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37763
FILM NUMBER: 23633344
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
1
doc1.xml
FORM 4
X0306
4
2023-02-10
0
0001290677
Turning Point Brands, Inc.
TPB
0001660246
Wexler Lawrence
393 CARTER STREET
CANAAN
CT
06840
1
0
0
0
Common Stock
2023-02-10
4
A
0
25000
22.71
A
402378
D
Common Stock
2023-02-10
4
F
0
7977
22.71
D
394401
D
Common Stock
2023-02-10
4
A
0
1106
22.71
A
395507
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.
Represents shares issued upon settlement of performance restricted stock units granted to the reporting person in March 2018. The compensation committee of the Board of Directors determined that the performance criteria were met on February 10, 2022. The total reported in Column 5 includes 3,475 restricted stock units and 398,903 shares of common stock.
The reported transaction involves shares withheld for the payment of taxes related to performance restricted stock units that the performance criteria were met on February 10, 2023. The total reported in Column 5 includes 3,475 restricted stock units and 390,926 shares of common stock.
The reported transaction involves shares received as dividends related to performance restricted stock units that the performance criteria were met on February 10, 2023. The total reported in Column 5 includes 3,475 restricted stock units and 392,032 shares of common stock.
/s/ Lawrence Wexler
2023-02-14