Turning Point Brands, Inc. — Director's Dealing 2016

Nov 28, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2016-05-11

Reporting Person: Murray James Michael (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-05-11	Common Stock	A	141	—	Acquired	141	Direct
2016-11-23	Common Stock	M	26080	$1.06	Acquired	26221	Direct
2016-11-23	Common Stock	S	13592	$14	Disposed	12629	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-11-23	Options (2007)	$1.06	M	26080	Disposed	2017-09-18	Common Stock (26080)	Direct

Footnotes

F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.89 to $14.175, inclusive. The reporting person undertakes to provide to Turning Point Brands, Inc., any security holder of Turning Point Brands, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: 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 16.68% of the underlying shares on January 10, 2010.