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Turning Point Brands, Inc. — Director's Dealing 2016
May 10, 2016
31776_dirs_2016-05-10_d17d9756-1643-4366-b2f6-f008c3434bba.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2016-05-10
Reporting Person: Dobbins James Wells (N/A)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock (voting) | 83454 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options (2007) | $1.06 | 2017-09-18 | Common Stock (voting) (36512) | Direct | |
| Options (2008) | $1.06 | 2018-11-04 | Common Stock (voting) (20864) | Direct | |
| Options (2011) | $3.83 | 2021-08-25 | Common Stock (voting) (31296) | Direct | |
| Options (2014) | $3.83 | 2024-08-08 | Common Stock (voting) (5216) | Direct |
Footnotes
F1: 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.
F2: 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 16.68% of the underlying shares on January 10, 2011.
F3: The options vested and became exercisable as to 50% of the underlying shares on August 26, 2011, 16.68% of the underlying shares on August 26, 2012, 16.66% of the underlying shares on August 26, 2013 and the remaining 16.66% of the underlying shares on August 26, 2014.
F4: The options vested and became exercisable as to 50% of the underlying shares on August 8, 2014 and 25% of the underlying shares on August 8, 2015. The remaining 25% will become exercisable as of August 8, 2016.