Purdy Graham 4

4 · Turning Point Brands, Inc. · Filed Mar 26, 2026

AI-generated summary of this filing

Updated Mar 26, 2026

Turning Point Brands (TPB) CEO Purdy Graham Receives Award

What Happened

Purdy Graham, President, CEO and a director of Turning Point Brands (TPB), was granted 8,638 restricted stock units (RSUs) on 2026-03-24. The grant is reported at a per‑share value of $86.83, for an aggregate reported value of $750,038. This transaction is reported as an award/grant (transaction code A).

Key Details

Transaction date: 2026-03-24; Filing date: 2026-03-26.
Grant: 8,638 RSUs at $86.83 per share; aggregate value reported $750,038.
Reported beneficial ownership after the transaction (per filing): 27,094 RSUs and 238,889 shares of common stock.
Footnote: On Dec 8, 2025 Graham entered a financing secured by a pledge of up to 140,140 shares; he retains beneficial ownership, dividends and voting rights. Loan matures Dec 10, 2026; repayment may be in cash or delivery of up to 140,140 shares at a per‑share price between $91.50 and $104.45, depending on market price.
Filing appears timely (transaction on 3/24, Form 4 filed 3/26).

Context

RSUs are awards that convert to actual shares only when they vest; this grant does not represent an immediate open‑market purchase or sale. Such awards are compensation-related and do not by themselves indicate an immediate change in cash holdings or insider sentiment.
The disclosed pledge/financing could affect how many shares remain available for sale if repayment in stock is elected at maturity.

Form 4

Period: 2026-03-24

DirectorPresident and CEO

Transactions

Holdings

Footnotes (2)

[F1]The reported transaction involved the reporting person's receipt of a grant of 8,638 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 27,094 restricted stock units and 238,889 shares of common stock.
[F2]On December 8, 2025, the reporting person entered into a financing transaction with an unaffiliated dealer to receive approximately $12.3 million secured by a pledge of up to 140,140 shares of the issuer's common stock (the "Pledged Shares"). Beginning on the maturity date of December 10, 2026, the reporting person is obligated to repay the lender in cash or at the reporting person's election to deliver up to 140,140 shares of the Issuer's common stock at a price per share ranging from $91.50 to $104.45 based on the then prevailing market price. The reporting person retains beneficial ownership of the Pledged Shares, including dividend and voting rights.

Signature

/s/ Graham Purdy|2026-03-26

1 file