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Efremov Yavor – ‘4’ for 3/14/22 re: Turning Point Brands, Inc.

On:  Wednesday, 3/16/22, at 4:08pm ET   ·   For:  3/14/22   ·   Accession #:  1567619-22-7051   ·   File #:  1-37763

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

 3/16/22  Efremov Yavor                     4                      1:7K   Turning Point Brands, Inc.        Broadridge Fin’l… Inc/FA

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      3K 
                Securities by an Insider -- doc1.xml/3.6


        

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
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2022-03-14 </periodOfReport>
<notSubjectToSection16> 0 </notSubjectToSection16>
<issuer>
<issuerCik> 0001290677 </issuerCik>
<issuerName> Turning Point Brands, Inc. </issuerName>
<issuerTradingSymbol> TPB </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001843574 </rptOwnerCik>
<rptOwnerName> Efremov Yavor </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 5201 INTERCHANGE WAY </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> LOUISVILLE </rptOwnerCity>
<rptOwnerState> KY </rptOwnerState>
<rptOwnerZipCode> 40229 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 1 </isDirector>
<isOfficer> 1 </isOfficer>
<isTenPercentOwner> 0 </isTenPercentOwner>
<isOther> 0 </isOther>
<officerTitle> President and CEO </officerTitle>
<otherText></otherText>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2022-03-14 </value>
</transactionDate>
<deemedExecutionDate></deemedExecutionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> P </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 9000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 29.75 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 9000 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2022-03-14 </value>
</transactionDate>
<deemedExecutionDate></deemedExecutionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> A </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 3478 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 13637 </value>
<footnoteId id="F3"/>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Options (2022) </value>
<footnoteId id="F1"/>
</securityTitle>
<conversionOrExercisePrice>
<value> 30.46 </value>
</conversionOrExercisePrice>
<transactionDate>
<value> 2022-03-14 </value>
</transactionDate>
<deemedExecutionDate></deemedExecutionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> A </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 22810 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<footnoteId id="F2"/>
</exerciseDate>
<expirationDate>
<value> 2032-03-14 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 22810 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 22810 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
</derivativeTable>
<footnotes>
<footnote id="F1"> Granted pursuant to the issuer's 2021 Equity Incentive Plan. </footnote>
<footnote id="F2"> 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>
<footnote id="F3"> The reported transaction involved the reporting person's receipt of a grant of 3,478 restricted stock units under Turning Point Brands, Inc,'s 2021 Equity Incentive Plan. The reporting person has previously reported prior awards of restricted units in Table II of Form 4. The total reported in Column 5 includes the newly 3,478 awarded restricted stock units, 1,159 restricted stock units previously reported in Table II and 9,000 shares of common stock. </footnote>
</footnotes>
<ownerSignature>
<signatureName> /s/ Yavor Efremov </signatureName>
<signatureDate> 2022-03-16 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001567619-22-007051   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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