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4//SEC Filing

Turning Point Brands, Inc. 4

Accession 0001140361-17-021402

$TPBCIK 0001290677operating
View on SEC.govCompany Profile

Filed

May 17, 8:00 PM ET

Accepted

May 18, 5:27 PM ET

Size

12.0 KB

Accession

0001140361-17-021402

Insider Transaction Report

Form 4
Period: 2017-05-17
Turning Point Brands, Inc.TPB
Dobbins James Wells
GC, Secretary, Sr. VP
Transactions
  • Award

    Options (2017)

    2017-05-17+6,850→ 6,850 total
    Exercise: $15.41Exp: 2027-05-17→ Common Stock (6,850 underlying)
Holdings

  • Common Stock

    84,041

  • Options (2014)

    Exercise: $3.83Exp: 2024-08-08→ Common Stock (5,216 underlying)
    5,216

  • Options (2008)

    Exercise: $1.06Exp: 2018-11-04→ Common Stock (20,864 underlying)
    20,864

  • Options (2007)

    Exercise: $1.06Exp: 2017-09-18→ Common Stock (24,002 underlying)
    24,002

  • Options (2011)

    Exercise: $3.83Exp: 2021-08-25→ Common Stock (31,296 underlying)
    31,296
Footnotes (7)
  • [F1]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.
  • [F2]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.
  • [F3]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.
  • [F4]The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.
  • [F5]The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.
  • [F6]Granted pursuant to the issuer's 2015 Equity Incentive Plan.
  • [F7]Granted pursuant to the issuer's 2006 Equity Incentive Plan.

Documents

1 file

Issuer

Turning Point Brands, Inc.

CIK 0001290677

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001290677

Filing Metadata

Form type
4
Filed
May 17, 8:00 PM ET
Accepted
May 18, 5:27 PM ET
Size
12.0 KB
View on SEC.gov