Form 4 for TPB Turning Point Brands, Inc.
Accepted 2022-05-03 00:00:00 ET · period of report 2022-04-29 · accession 0001567619-22-009449 · 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 | 2022-05-03 | 2022-04-29 | TPB | Diao H.C. Charles | Dir | A - Grant | $0.00 | +1,195 | 36.2K | +3% | $0 |
| D | 2022-05-03 | 2022-04-29 | TPB | Diao H.C. Charles | Dir | M - OptEx | $3.83 | +10.4K | 46.6K | +29% | +$40.0K |
| DM | 2022-05-03 | 2022-05-03 | TPB | Diao H.C. Charles | Dir | D - Sale to Iss | $30.76 | -5,495 | 36.4K | -13% | -$169.1K |
| D | 2022-05-03 | 2022-04-29 | TPB | Diao H.C. Charles | Dir | F - Tax | $31.39 | -4,937 | 41.7K | -11% | -$155.0K |
| D | 2022-05-03 | 2022-04-29 | TPB | Diao H.C. Charles | Dir | M - OptEx | $0.00 | -10.4K | 0 | -100% | $0 |
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 | 2022-04-29 | A | A | 1,195 | $0.00 | 36,186 | D | — | — | (F3) The reported transaction involved the reporting person's receipt of a grant of 1,195 restricted stock units under Turning Point Brands, Inc,'s 2021 Equity Incentive Plan. The reporting person has previously reported prior awards of restricted units in Table II of Form 4. The total reported in Column 5 includes the newly 1,195 awarded restricted stock units, 785 restricted stock units previously reported in Table II and 34,206 shares of common stock. |
| 2 | Common | Common Stock | 2022-04-29 | M | A | 10,432 | $3.83 | 46,618 | D | — | — | |
| 3 | Common | Common Stock | 2022-05-03 | D | D | 242 | $31.52 | 36,186 | D | — | — | (F5) Weighted average sale price. On 5/3/2022, the reporting person sold the shares within a range of $31.51 to $31.53. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
| 4 | Common | Common Stock | 2022-05-03 | D | D | 5,253 | $30.73 | 36,428 | D | — | — | (F4) Weighted average sale price. On 5/3/2022, the reporting person sold the shares within a range of $30.335 to $31.17. The reporting person will provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
| 5 | Common | Common Stock | 2022-04-29 | F | D | 4,937 | $31.39 | 41,681 | D | — | — | |
| 6 | Derivative | Options (2014) | 2022-04-29 | M | D | 10,432 | $0.00 | 0 | D | $3.83 · — to 2024-08-08 | 10,432 Common Stock | (F2) Granted pursuant to the issuer's 2006 Equity Incentive Plan. (F1) 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. |