Turning Point Brands, Inc. — Director's Dealing 2017

Aug 21, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2017-08-17

Reporting Person: Diao H.C. Charles (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-08-17	Common Stock	P	2003	$16.32	Acquired	2003	Direct
2017-08-18	Common Stock	P	1300	$16.74	Acquired	3303	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options (2014)	$3.83	2024-08-08	Common Stock (10432)	10432	Direct
Options (2013)	$3.83	2023-04-05	Common Stock (31296)	31296	Direct

Footnotes

F1: 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.

F2: The options vested and became exercisable as to 50% of the underlying shares on April 5, 2013, 16.66% of the underlying shares on December 31, 2013, 16.66% of the underlying shares on December 31, 2014 and the remaining 16.66% of the underlying shares on December 31, 2015.

F3: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F4: Weighted average purchase price. On 8/17/17, the reporting person purchased the shares within a range of $15.95 to $16.271. 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 purchased at each separate price.

F5: Weighted average purchase price. On 8/18/17, the reporting person purchased the shares within a range of $16.69 to $16.79. 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 purchased at each separate price.