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

Aug 17, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2017-08-16

Reporting Person: Baxter Gregory H.A. (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-08-16	Common Stock	M	2450	$1.06	Acquired	2450	Direct
2017-08-16	Common Stock	F	157	$16.52	Disposed	2293	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-08-16	Options (2007)	$1.06	M	2450	Disposed	2017-09-18	Common Stock (2450)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options (2014)	$3.83	2024-08-08	Common Stock (14344)	14344	Direct
Options (2011)	$3.83	2021-02-15	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 February 15, 2011, 16.68% of the underlying shares on December 31, 2011, 16.66% of the underlying shares on December 31, 2012 and the remaining 16.66% of the underlying shares on December 31, 2013.

F3: 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.

F4: Granted pursuant to the issuer's 2006 Equity Incentive Plan.