Statement of Changes in Beneficial Ownership (4)
May 18 2021 - 5:07PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Wigginton Brian |
2. Issuer Name and Ticker or Trading Symbol
Turning Point Brands, Inc.
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TPB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr VP Finance & CAO |
(Last)
(First)
(Middle)
5201 INTERCHANGE WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/17/2021 |
(Street)
LOUISVILLE, KY 40229
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Options (2021) (7) | $45.05 | 5/17/2021 | | A | | 2500 | | (6) | 5/17/2031 | Common Stock | 2500 | $0 | 2500 | D | |
Options (2021) (1) | $51.75 | | | | | | | (6) | 2/18/2031 | Common Stock | 1750 | | 1750 | D | |
Options (2020) (1) | $14.85 | | | | | | | (5) | 3/18/2030 | Common Stock | 2500 | | 2500 | D | |
Options (2019) (1) | $47.58 | | | | | | | (2) | 3/20/2029 | Common Stock | 400 | | 400 | D | |
Options (2018) (1) | $21.21 | | | | | | | (3) | 3/7/2028 | Common Stock | 400 | | 400 | D | |
Options (2017) (1) | $15.41 | | | | | | | (4) | 5/17/2027 | Common Stock | 750 | | 750 | D | |
Explanation of Responses: |
(1) | Granted pursuant to the issuer's 2015 Equity Incentive Plan |
(2) | 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. |
(3) | 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. |
(4) | 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. |
(5) | 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. |
(6) | 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. |
(7) | Granted pursuant to the issuer's 2021 Equity Incentive Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Wigginton Brian 5201 INTERCHANGE WAY LOUISVILLE, KY 40229 |
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| Sr VP Finance & CAO |
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Signatures
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/s/ Brian Wigginton | | 5/18/2021 |
**Signature of Reporting Person | Date |
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