Accession Number: | 0001567619-19-017063 |
Date: | 2019-08-14 |
Issuer: | TURNING POINT BRANDS, INC. (TPB) |
Original Submission Date: |
DIAO H.C. CHARLES
5201 INTERCHANGE WAY
LOUISVILLE, KY 40229
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2019-08-14 | P | 1,000 | a | $36.45 | 16,000 | direct |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |