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Turning Point Brands, Inc. — Director's Dealing 2019
Aug 15, 2019
31776_dirs_2019-08-15_32651330-c7d5-48dc-b234-095bd10c8dd7.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: 2019-08-14
Reporting Person: Diao H.C. Charles (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-08-14 | Common Stock | P | 1000 | $36.45 | Acquired | 16000 | 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.