Purdy Graham's Form 4/A amendment
AmendedTurning Point Brands, Inc. (TPB) · filed Oct 29, 2021
- Accession no.
- 0001567619-21-018973
- Filed
- Oct 29, 2021
- Trade date
- Oct 28, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Oct 28, 2021
This filing lists 1 non-derivative transaction. Open-market purchases total $38.2K. It was filed 1 day after the trade.
This amendment replaces 0001567619-21-018867 (filed Oct 28, 2021).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Purdy GrahamCIK 0001794878 | Officer (Chief Operating Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 28, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $38.18F10 | +$38,180 | 130,392 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Granted pursuant to the issuer's 2006 Equity Plan
- F2
Includes 1,000 shares of common stock beneficially owned by the reporting person that were acquired in connection with the Issuer's IPO and were inadvertently excluded from previously filings.
- F3
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.
- F4
Granted pursuant to the issuer's 2015 Equity Incentive Plan.
- F5
The options vest and become 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.
- 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 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.
- F8
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.
- F9
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.
- F10
Average price paid for common stock based on a high price of $38.27 and a low price of $38.08.
Referenced by the price of 1 transaction in Table I.
Remarks
1. This amendment is being filed to correct an error in the transaction code for the subject transaction used in the initial filing. The initial filing mistakenly used a transaction code of A for the subject transaction as opposed to the proper code for the transaction of P.