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

Mar 22, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2019-03-20

Reporting Person: Dobbins James Wells (GC, Secretary, Sr. VP)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-03-20	Options (2019)	$47.58	A	11500	Acquired	2029-03-20	Common Stock (11500)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options (2018)	$21.21	2028-03-07	Common Stock (9000)	9000	Direct
Options (2017)	$15.41	2027-05-17	Common Stock (6850)	6850	Direct
Options (2014)	$3.83	2024-08-08	Common Stock (5216)	5216	Direct
Options (2011)	$3.83	2021-08-25	Common Stock (31296)	31296	Direct

Footnotes

F1: 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.

F2: 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.

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: 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.

F5: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F6: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

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.