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De Plano Lorenzo – ‘4’ for 3/14/24 re: Turning Point Brands, Inc.

On:  Monday, 3/18/24, at 9:17am ET   ·   For:  3/14/24   ·   As:  Officer   ·   Accession #:  1290677-24-31   ·   File #:  1-37763

Previous ‘4’:  None   ·   Next & Latest:  ‘4’ on 4/3/24 for 4/1/24

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/18/24  De Plano Lorenzo                  4          Officer     1:8K   Turning Point Brands, Inc.        Turning Point Brands Inc

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      8K 
                Securities by an Insider -- form4.xml/5.8


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  3/14/24
Issuer:
Issuer CIK:  1290677
Issuer Name:  Turning Point Brands, Inc.
Issuer Trading Symbol:  TPB
Reporting Owner:
Reporting Owner ID:
Owner CIK:  2015498
Owner Name:  De Plano Lorenzo
Reporting Owner Address:
Owner Street 1:  5201 INTERCHANGE WAY
Owner Street 2:
Owner City:  LOUISVILLE
Owner State:  KY
Owner ZIP Code:  40229
Owner State Description:
Reporting Owner Relationship:
Is Officer?  Yes
Officer Title:  Chief Strategy Officer
Aff 10b5 One?  No
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  3/14/23
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  P
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  15,043
Transaction Price Per Share:
Value:  27.97
Footnote ID:  F4
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  31,375
Footnote ID:  F5
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Holding:
Security Title:
Value:  Options (2020)
Conversion or Exercise Price:
Value:  14.85
Exercise Date:
Footnote ID:  F1
Expiration Date:
Value:  3/18/30
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  1,386
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,386
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Options (2021)
Conversion or Exercise Price:
Value:  51.75
Exercise Date:
Footnote ID:  F2
Expiration Date:
Value:  2/18/31
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  2,100
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  2,100
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Options (2022)
Conversion or Exercise Price:
Value:  30.46
Exercise Date:
Footnote ID:  F3
Expiration Date:
Value:  3/14/32
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  2,500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  2,500
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  Options granted under the Turning Point Brands, Inc. 2015 Equity Incentive Plan. 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.
Footnote - F2:  Options granted under the Turning Point Brands, Inc. 2015 Equity Incentive Plan. 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.
Footnote - F3:  Options granted under the Turning Point Brands, Inc. 2021 Equity Incentive Plan. The options vest and become exercisable as to 34% of the underlying shares on January 1, 2023, 33% of the underlying shares on January 1, 2024 and 33% of the underlying shares on January 1, 2025.
Footnote - F4:  Weighted average purchase price. On 3/14/24, the reporting person purchased the shares within a range of $27.90 to $28.06. 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 purchased at each separate price
Footnote - F5:  The total reported in Column 5 includes 8,523 restricted stock units and 22,852 shares of common stock.
Owner Signature:
Signature Name:  /s/ Lorenzo De Plano
Signature Date:  3/18/24


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