Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-19-017063
Date:2019-08-14
Issuer: TURNING POINT BRANDS, INC. (TPB)
Original Submission Date:

Reporting Person:

DIAO H.C. CHARLES
5201 INTERCHANGE WAY
LOUISVILLE, KY 40229

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-08-14 P 1,000 a $36.45 16,000 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
OPTIONS (2014) 3.83 deemed execution date 0 ( ) 2024-08-08 common stock 10,432 $3.83 10,432 direct
OPTIONS (2013) 3.83 deemed execution date 0 ( ) 2023-04-05 common stock 31,296 $3.83 31,296 direct
Footnotes
IDfootnote
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 vested and became exercisable as to 50% of the underlying shares on april 5, 2013, 16.66% of the underlying shares on december 31, 2013, 16.66% of the underlying shares on december 31, 2014 and the remaining 16.66% of the underlying shares on december 31, 2015.
f3 granted pursuant to the issuer's 2006 equity incentive plan.
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