Cushman Brittani 的 Form 4/A 修正申報
修正Turning Point Brands, Inc.（TPB），2025/6/12 申報
- 申報編號
- 0001437749-25-020139
- 申報時間
- 2025/6/12
- 交易日
- 2025/6/9-6/10
- 申報延遲
- 3 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2025/6/11
這份申報列了 4 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $112.7 萬。交易後 3 天申報。
這份修正申報取代了 0001437749-25-020110（2025/6/11 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Cushman BrittaniCIK 0001831600 | 高階主管（資深副總裁、法務長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2025/6/9 | Common Stock | M行使選擇權取得 | +7,500 | $13.00 | +$97,500 | 42,187 | 直接 | |
| 2025/6/9 | Common Stock | S賣出處分 | −7,500 | $75.89 | −$569,175 | 34,687 | 直接 | |
| 2025/6/10 | Common Stock | M行使選擇權取得 | +7,500 | $13.00 | +$97,500 | 42,187 | 直接 | |
| 2025/6/10 | Common Stock | S賣出處分 | −7,500 | $74.36 | −$557,700 | 34,687 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2025/6/9 | Common Stock | M行使選擇權處分 | −10,000 | $13.00 | −$97,500 | 2,500 | 直接 | |
| 2025/6/10 | Common Stock | M行使選擇權處分 | −10,000 | $13.00 | −$97,500 | 2,500 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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 7,500 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.
- F11
The reported transaction involved the reporting person's disposition of the exercised 7,500 options granted under Turning Point Brands, Inc.'s 2015 Equity Incentive Plan.
- F12
The original Form 4, filed on June 11, 2025, is being amended solely to correct an administrative error that incorrectly reported the reporting person's indirect ownership number of units, due to a missed decimal. The total reported in Column 5 is correctly recited as 406.806.