Turning Point Brands, Inc. — Director's Dealing 2020

Nov 10, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Turning Point Brands, Inc. (TPB)
CIK: 0001290677
Period of Report: 2020-11-01

Reporting Person: Cushman Brittani (Sr VP, General Counsel)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	97	Direct
Common Stock	406.806	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options (2020)	$14.85	2030-03-18	Common Stock (6000)		Direct
Options (2019)	$47.58	2029-03-20	Common Stock (4800)		Direct
Options (2018)	$21.21	2028-03-07	Common Stock (4500)		Direct
Options (2017)	$15.41	2027-05-17	Common Stock (3250)		Direct
Options (2017)	$13.00	2027-02-10	Common Stock (20000)		Direct

Footnotes

F1: The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

F2: Granted pursuant to the issuer's 2015 Equity Incentive Plan

F3: The options vest and become exercisable as to 34% of the underlying shares on January 1, 2021, 33% of the underlying shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023.

F4: 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.

F5: 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.

F6: 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.