Lawrence Wexler - Oct 28, 2021 Form 4/A - Amendment Insider Report for Turning Point Brands, Inc. (TPB)

Role
President and CEO, Director
Signature
/s/ Lawrence Wexler
Stock symbol
TPB
Transactions as of
Oct 28, 2021
Transactions value $
$56,925
Form type
4/A - Amendment
Date filed
10/29/2021, 02:18 PM
Date Of Original Report
Oct 28, 2021
Next filing
Feb 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TPB Common Stock Purchase $56.9K +1.5K +0.42% $37.95 354K Oct 28, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding TPB Options (2021) 15.9K Oct 28, 2021 Common Stock 15.9K $51.75 Direct F5, F8
holding TPB Options 2020 20K Oct 28, 2021 Common Stock 20K $14.85 Direct F5, F7
holding TPB Options (2019) 35.5K Oct 28, 2021 Common Stock 35.5K $47.58 Direct F5, F6
holding TPB Options (2018) 26.5K Oct 28, 2021 Common Stock 26.5K $21.21 Direct F3, F5
holding TPB Options (2017) 16.8K Oct 28, 2021 Common Stock 16.8K $15.41 Direct F2, F5
holding TPB Options (2014) 4.7K Oct 28, 2021 Common Stock 4.7K $3.83 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
F2 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.
F3 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.
F4 Granted pursuant to the issuer's 2006 Equity Incentive Plan.
F5 Granted pursuant to the issuer's 2015 Equity Incentive Plan.
F6 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.
F7 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.
F8 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.

Remarks:

1. This amendment is being filed to correct an error in the transaction code for the subject transaction used in the initial filing. The initial filing mistakenly used a transaction code of A for the subject transaction as opposed to the proper code for the transaction of P.