Turning Point Brands, Inc. · Exercise / conversion · Common Stock

What does this filing report?

An SEC Form 4 filing for Turning Point Brands, Inc. records an exercise / conversion involving Common Stock on November 19, 2025. The reported quantity was 3,000. The filing date is November 21, 2025. This is one transaction record; amounts are not allocated among any joint reporting owners.

The acquisition category describes how securities were received. It does not by itself establish a cash purchase of common stock. Read the transaction code definitionsand the original filing before interpreting the amounts.

Filing footnotes & remarks

F1

The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

F2

Granted pursuant to the issuer's 2015 Equity Incentive Plan

F3

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.

F4

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.

F5

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.

F6

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.

F7

The options vested and became 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.

F8

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.

F9

Granted pursuant to the issuer's 2021 Equity Incentive Plan.

F10

The reported transaction involved the reporting person's exercise of 3,000 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan. The total reported in Column 5 includes 9,434 restricted stock units and 32,753 shares of common stock.

F11

The reported transaction involved the reporting person's disposition of the exercised 3,000 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan.

F12

The reported transaction involved the reporting person's exercise of 4,000 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan. The total reported in Column 5 includes 9,434 restricted stock units and 32,753 shares of common stock.

F13

The reported transaction involved the reporting person's disposition of the exercised 4,000 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan.

F14

The reported transaction involved the reporting person's exercise of 3,250 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan. The total reported in Column 5 includes 9,434 restricted stock units and 32,753 shares of common stock.

F15

The reported transaction involved the reporting person's disposition of the exercised 3,250 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan.

F16

The reported transaction involved the reporting person's exercise of 2,500 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan. The total reported in Column 5 includes 9,434 restricted stock units and 32,753 shares of common stock.

F17

The reported transaction involved the reporting person's disposition of the exercised 2,500 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan.

Footnotes are reproduced as plain text from the current source filing. For the full context, read the original SEC filing.