Diao H.C. Charles's Form 4 filing
Turning Point Brands, Inc. (TPB) · filed May 16, 2022
- Accession no.
- 0001567619-22-010936
- Filed
- May 16, 2022
- Trade date
- May 13-16, 2022
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market sales total $811.5K. It was filed 3 days after the trade.
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 |
|---|---|
| Diao H.C. CharlesCIK 0001591159 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| May 13, 2022 | Common Stock | SSaleDisposed | −11,000 | $28.54 | −$313,940 | 24,878 | Direct | |
| May 16, 2022 | Common Stock | SSaleDisposed | −17,206 | $28.92F3 | −$497,597.52 | 7,672 | 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.
- F3
Weighted average sale price. On 5/16/2022, the reporting person sold the shares within a range of $28.80 to $29.00. 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 sold at each separate price.
Referenced by the price of 1 transaction in Table I.