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Turning Point Brands, Inc. — Director's Dealing 2021
Oct 28, 2021
31776_dirs_2021-10-28_1804c0a6-10e3-437d-81cb-5102897a5127.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: 2021-10-28
Reporting Person: Reformina Luis (Sr VP, CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-10-28 | Common Stock | A | 650 | $37.97 | Acquired | 650 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options (2019) | $20.89 | 2029-10-24 | Common Stock (25000) | 25000 | Direct |
| Options (2020) | $14.85 | 2030-03-18 | Common Stock (4000) | 4000 | Direct |
| Options (2021) | $51.75 | 2031-02-18 | Common Stock (4500) | 4500 | Direct |
| Options (2021) | $47.76 | 2031-05-03 | Common Stock (12000) | 12000 | Direct |
Footnotes
F1: Granted pursuant to the issuer's 2015 Equity Incentive Plan
F2: 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.
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, 2022, 33% of the underlying shares on January 1, 2023, and 33% of the underlying shares on January 1, 2024.