Turning Point Brands, Inc. — Director's Dealing 2019

Nov 25, 2019

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2019-11-13

Reporting Person: Purdy Graham (Chief Operating Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	95059	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options (2019)	$47.58	2029-03-20	Common Stock (5500)		Direct
Options (2018)	$21.21	2028-03-07	Common Stock (8900)		Direct
Options (2017)	$15.41	2027-05-17	Common Stock (5000)		Direct
Options (2014)	$3.83	2024-08-08	Common Stock (5216)		Direct
Options (2011)	$3.83	2021-08-25	Common Stock (62591)		Direct

Footnotes

F1: Granted pursuant to the issuer's 2006 Equity Plan

F2: 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.

F3: 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.

F4: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F5: 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.

F6: The options vest and become exercisable as to 34% of the underlying shares on January 1, 2019, 33% of the underlying shares on January 1, 2020 and 33% of the underlying shares on January 1, 2021.

F7: The options vest and become exercisable as to 34% of the underlying shares on January 1, 2020, 33% of the underlying shares on January 1, 2021 and 33% of the underlying shares on January 1, 2022.