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Turning Point Brands, Inc. — Director's Dealing 2020
Mar 20, 2020
31776_dirs_2020-03-20_82e1e965-9982-4171-a03d-f55468e2f4d8.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: 2020-03-18
Reporting Person: Dobbins James Wells (GC, Secretary, Sr. VP)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-03-18 | Options (2020) | $14.85 | A | 4500 | Acquired | 2030-03-18 | Common Stock (4500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 84041 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options (2019) | $47.58 | 2029-03-20 | Common Stock (11500) | 11500 | Direct |
| 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.
F8: The options vest and become exercisable as to 34% of the underlying shares on January 1, 2021, 33% of underlying the shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023.