4//SEC Filing
Turning Point Brands, Inc. 4
Accession 0001140361-17-022202
$TPBCIK 0001290677operating
Filed
May 23, 8:00 PM ET
Accepted
May 24, 6:25 PM ET
Size
14.6 KB
Accession
0001140361-17-022202
Insider Transaction Report
Form 4
Dobbins James Wells
GC, Secretary, Sr. VP
Transactions
- Exercise/Conversion
Options (2007)
2017-05-23−6,000→ 18,002 totalExercise: $1.06Exp: 2017-09-18→ Common Stock (6,000 underlying) - Exercise/Conversion
Common Stock
2017-05-23$1.06/sh+6,000$6,360→ 90,041 total - Sale
Common Stock
2017-05-23$16.67/sh−6,000$100,020→ 84,041 total
Holdings
- 20,864
Options (2008)
Exercise: $1.06Exp: 2018-11-04→ Common Stock (20,864 underlying) - 6,850
Options (2017)
Exercise: $15.41Exp: 2027-05-17→ Common Stock (6,850 underlying) - 5,216
Options (2014)
Exercise: $3.83Exp: 2024-08-08→ Common Stock (5,216 underlying) - 31,296
Options (2011)
Exercise: $3.83Exp: 2021-08-25→ Common Stock (31,296 underlying)
Footnotes (8)
- [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.
- [F8]Weighted average sale price. On 5/23/2017, the reporting person sold the shares within a range of $16.56 to $16.81. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Documents
Issuer
Turning Point Brands, Inc.
CIK 0001290677
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001290677
Filing Metadata
- Form type
- 4
- Filed
- May 23, 8:00 PM ET
- Accepted
- May 24, 6:25 PM ET
- Size
- 14.6 KB