4//SEC Filing
Dobbins James Wells 4
Accession 0001140361-17-034104
CIK 0001290677other
Filed
Aug 31, 8:00 PM ET
Accepted
Sep 1, 1:39 PM ET
Size
14.5 KB
Accession
0001140361-17-034104
Insider Transaction Report
Form 4
Dobbins James Wells
GC, Secretary, Sr. VP
Transactions
- Sale
Common Stock
2017-08-31$16.93/sh−12,002$203,194→ 84,041 total - Exercise/Conversion
Options
2017-08-31−12,002→ 0 totalExercise: $1.06Exp: 2017-09-18→ Common Stock (12,002 underlying) - Exercise/Conversion
Common Stock
2017-08-31$1.06/sh+12,002$12,722→ 96,043 total
Holdings
- 6,850
Options
Exercise: $15.41Exp: 2027-05-17→ Common Stock (6,850 underlying) - 5,216
Options
Exercise: $3.83Exp: 2024-08-08→ Common Stock (5,216 underlying) - 20,864
Options
Exercise: $1.06Exp: 2018-11-04→ Common Stock (20,864 underlying) - 31,296
Options
Exercise: $3.83Exp: 2021-08-25→ Common Stock (31,296 underlying)
Footnotes (8)
- [F1]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.
- [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.
- [F3]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.
- [F4]The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.
- [F5]The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.
- [F6]Granted pursuant to the issuer's 2015 Equity Incentive Plan.
- [F7]Granted pursuant to the issuer's 2006 Equity Incentive Plan.
- [F8]Weighted average sale price. On 8/31/2017, the reporting person sold the shares within a range of $16.71 to $17.18. 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.
Documents
Issuer
Turning Point Brands, Inc.
CIK 0001290677
Entity typeother
Related Parties
1- filerCIK 0001659531
Filing Metadata
- Form type
- 4
- Filed
- Aug 31, 8:00 PM ET
- Accepted
- Sep 1, 1:39 PM ET
- Size
- 14.5 KB