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Turning Point Brands, Inc. — Director's Dealing 2020
May 1, 2020
31776_dirs_2020-05-01_ea3af31b-8e7c-4f6c-addd-dd4d40f5e63f.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: 2020-04-30
Reporting Person: Purdy Graham (Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-04-30 | Common Stock | P | 1000 | $22.57 | Acquired | 96059 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options (2020) | $14.85 | 2030-03-18 | Common Stock (11000) | 11000 | Direct |
| Options (2019) | $47.58 | 2029-03-20 | Common Stock (5500) | 5500 | Direct |
| Options (2018) | $21.21 | 2028-03-07 | Common Stock (8900) | 8900 | Direct |
| Options (2017) | $15.41 | 2027-05-17 | Common Stock (5000) | 5000 | Direct |
| Options (2014) | $3.83 | 2024-08-08 | Common Stock (5216) | 5216 | Direct |
| Options (2011) | $3.83 | 2021-08-25 | Common Stock (62591) | 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.
F8: 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.