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Turning Point Brands, Inc. — Director's Dealing 2017
May 18, 2017
31776_dirs_2017-05-18_ecc8f0d6-3607-4cf1-9f40-d6ec2e59a873.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2017-05-17
Reporting Person: Dobbins James Wells (N/A)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-17 | Options (2017) | $15.41 | A | 6850 | Acquired | 2027-05-17 | Common Stock (6850) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 84041 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options (2014) | $3.83 | 2024-08-08 | Common Stock (5216) | 5216 | Direct |
| Options (2011) | $3.83 | 2021-08-25 | Common Stock (31296) | 31296 | Direct |
| Options (2008) | $1.06 | 2018-11-04 | Common Stock (20864) | 20864 | Direct |
| Options (2007) | $1.06 | 2017-09-18 | Common Stock (24002) | 24002 | Direct |
Footnotes
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.