Form 4 for TPB Turning Point Brands, Inc.
Accepted 2024-08-07 00:00:00 ET · period of report 2024-08-06 · accession 0001290677-24-000075 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-08-07 | 2024-08-06 | TPB | Baxter Gregory H.A. | Dir | M - OptEx | $3.83 | +14.3K | 55.2K | +35% | +$54.9K |
| D | 2024-08-07 | 2024-08-06 | TPB | Baxter Gregory H.A. | Dir | F - Tax | $35.70 | -6,661 | 48.5K | -12% | -$237.8K |
| D | 2024-08-07 | 2024-08-06 | TPB | Baxter Gregory H.A. | Dir | M - OptEx | $3.83 | -14.3K | 0 | -100% | -$54.9K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-08-06 | M | A | 14,344 | $3.83 | 55,205 | D | — | — | (F3) The reported transaction involved the reporting person's exercise of 14,344 options granted under Turning Point Brands, Inc,'s 2006 Equity Incentive Plan. The total reported in Column 5 includes 2,415 restricted stock units and 52,790 shares of common stock. |
| 2 | Common | Common Stock | 2024-08-06 | F | D | 6,661 | $35.70 | 48,544 | D | — | — | (F4) The reported transaction involves shares withheld for the payment of taxes and exercise costs related to the options exercised 8/6/2024. |
| 3 | Derivative | Options (2014) | 2024-08-06 | M | D | 14,344 | $3.83 | 0 | D | $3.83 · — to 2024-08-08 | 14,344 Common Stock | (F1) Grant pursuant to the Issuer's 2006 Equity Incentive Plan. (F2) 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. |