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Turning Point Brands, Inc.

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4660
SEC CIK
0001290677
Parsed reports
289

Last 12 months

Inside the activity.

0 purchase rows · 15 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025011
Dec 202502
Jan 202600
Feb 202600
Mar 202601
Apr 202600
May 202601
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 10, 2018 Filed Apr 11, 2018 21:56 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionCommon Stock 400 $1.06 $424.00
Disclosure

SEC source: 0001140361-18-018238 · form4.xml · nonDerivative · entry 3

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,829

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 09, 2018 Filed Apr 11, 2018 21:56 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionOptions · Derivative 800 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-18-018238 · form4.xml · derivative · entry 7

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,664

Underlying: Common Stock · 800 shares

Expires 2018-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F5 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.

Read SEC document
April 09, 2018 Filed Apr 11, 2018 21:56 UTC
Murray James MichaelSr. VP, Business Planning
SaleCommon Stock 300 $20.19 $6,057.00
Disclosure

SEC source: 0001140361-18-018238 · form4.xml · nonDerivative · entry 2

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,429

F8 · price: Weighted average sale price. On 4/9/2018, the reporting person sold the shares within a range of $20.11 to $20.29. 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.

Read SEC document
April 09, 2018 Filed Apr 11, 2018 21:56 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionCommon Stock 800 $1.06 $848.00
Disclosure

SEC source: 0001140361-18-018238 · form4.xml · nonDerivative · entry 1

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,729

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 06, 2018 Filed Apr 6, 2018 22:41 UTC
Murray James MichaelSr. VP, Business Planning
SaleCommon Stock 300 $20.21 $6,063.00
Disclosure

SEC source: 0001140361-18-017698 · form4.xml · nonDerivative · entry 6

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,629

Read SEC document
April 06, 2018 Filed Apr 6, 2018 22:41 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionCommon Stock 800 $1.06 $848.00
Disclosure

SEC source: 0001140361-18-017698 · form4.xml · nonDerivative · entry 5

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,929

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 05, 2018 Filed Apr 6, 2018 22:41 UTC
Murray James MichaelSr. VP, Business Planning
SaleCommon Stock 300 $20.08 $6,024.00
Disclosure

SEC source: 0001140361-18-017698 · form4.xml · nonDerivative · entry 4

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,129

Read SEC document
April 05, 2018 Filed Apr 6, 2018 22:41 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionCommon Stock 3,800 $1.06 $4,028.00
Disclosure

SEC source: 0001140361-18-017698 · form4.xml · nonDerivative · entry 3

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,429

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 04, 2018 Filed Apr 6, 2018 22:41 UTC
Murray James MichaelSr. VP, Business Planning
SaleCommon Stock 1,799 $20.00 $35,980.00
Disclosure

SEC source: 0001140361-18-017698 · form4.xml · nonDerivative · entry 2

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,629

Read SEC document
April 04, 2018 Filed Apr 6, 2018 22:41 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionCommon Stock 1,799 $1.06 $1,906.94
Disclosure

SEC source: 0001140361-18-017698 · form4.xml · nonDerivative · entry 1

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,428

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 27, 2018 Filed Mar 29, 2018 21:48 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionOptions · Derivative 1 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-18-015957 · form4.xml · derivative · entry 3

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,863

Underlying: Common Stock · 1 shares

Expires 2018-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F5 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.

Read SEC document
March 27, 2018 Filed Mar 29, 2018 21:48 UTC
Murray James MichaelSr. VP, Business Planning
SaleCommon Stock 1 $20.00 $20.00
Disclosure

SEC source: 0001140361-18-015957 · form4.xml · nonDerivative · entry 2

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,629

Read SEC document
March 27, 2018 Filed Mar 29, 2018 21:48 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionCommon Stock 1 $1.06 $1.06
Disclosure

SEC source: 0001140361-18-015957 · form4.xml · nonDerivative · entry 1

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,630

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 21:09 UTC
Lavan Robert M.SVP and CFO
GrantOptions (2018) · Derivative 26,000 $0.00 Strike: $21.49 $0.00
Disclosure

SEC source: 0001140361-18-013692 · form4.xml · derivative · entry 1

Lavan Robert M. · CIK 0001733907 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Common Stock · 26,000 shares

Expires 2028-03-13

F1 · security: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F3 · derivative.exercise_date: The options vest and become exercisable as to 34% of the underlying shares on March 13, 2018, 33% of the underlying shares on January 1, 2019 and 33% of the underlying shares on January 1, 2020.

Read SEC document
March 07, 2018 Filed Mar 9, 2018 23:43 UTC
Dobbins James WellsGC, Secretary, Sr. VP
GrantOptions (2018) · Derivative 9,000 $0.00 Strike: $21.21 $0.00
Disclosure

SEC source: 0001140361-18-012903 · form4.xml · derivative · entry 2

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2028-03-07

F6 · security: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F1 · derivative.exercise_date: 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.

Read SEC document
March 07, 2018 Filed Mar 9, 2018 23:42 UTC
Murray James MichaelSr. VP, Business Planning
GrantOptions (2018) · Derivative 7,500 $0.00 Strike: $21.21 $0.00
Disclosure

SEC source: 0001140361-18-012900 · form4.xml · derivative · entry 2

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2028-03-07

F6 · security: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F1 · derivative.exercise_date: 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.

Read SEC document
March 07, 2018 Filed Mar 9, 2018 23:40 UTC
Wexler LawrenceDirector · President and CEO
GrantOptions (2018) · Derivative 26,500 $0.00 Strike: $21.21 $0.00
Disclosure

SEC source: 0001140361-18-012898 · form4.xml · derivative · entry 2

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,500

Underlying: Common Stock · 26,500 shares

Expires 2028-03-07

F6 · security: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F1 · derivative.exercise_date: 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.

Read SEC document
January 08, 2018 Filed Jan 9, 2018 21:20 UTC
Dobbins James WellsGC, Secretary, Sr. VP
Exercise / conversionOptions (2008) · Derivative 10,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-18-001456 · form4.xml · derivative · entry 4

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,864

Underlying: Common Stock · 10,000 shares

Expires 2018-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F4 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.

Read SEC document
January 08, 2018 Filed Jan 9, 2018 21:20 UTC
Dobbins James WellsGC, Secretary, Sr. VP
SaleCommon Stock 200 $22.77 $4,554.00
Disclosure

SEC source: 0001140361-18-001456 · form4.xml · nonDerivative · entry 3

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,041

Read SEC document
January 08, 2018 Filed Jan 9, 2018 21:20 UTC
Dobbins James WellsGC, Secretary, Sr. VP
SaleCommon Stock 9,800 $20.90 $204,820.00
Disclosure

SEC source: 0001140361-18-001456 · form4.xml · nonDerivative · entry 2

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,241

F7 · price: Weighted average sale price. On 1/8/2018, the reporting person sold the shares within a range of $21.52 to $22.30. 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.

Read SEC document
January 08, 2018 Filed Jan 9, 2018 21:20 UTC
Dobbins James WellsGC, Secretary, Sr. VP
Exercise / conversionCommon Stock 10,000 $1.06 $10,600.00
Disclosure

SEC source: 0001140361-18-001456 · form4.xml · nonDerivative · entry 1

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,041

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 03, 2018 Filed Jan 5, 2018 16:47 UTC SaleCommon Stock 50,000 $20.80 $1,040,000.00
Disclosure

SEC source: 0001140361-18-001082 · form4.xml · nonDerivative · entry 2

Helms Thomas F. Jr. · CIK 0001673345 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Helms Management Corp.

Disclosed balance after: 490,062

F2 · kind: Shares disposed of in a private sale. For such purposes, the shares of Common Stock were valued at $20.80 per share.

F2 · price: Shares disposed of in a private sale. For such purposes, the shares of Common Stock were valued at $20.80 per share.

F3 · ownership.direct: The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.

Read SEC document
January 03, 2018 Filed Jan 5, 2018 16:47 UTC SaleCommon Stock 100,000 $20.80 $2,080,000.00
Disclosure

SEC source: 0001140361-18-001082 · form4.xml · nonDerivative · entry 1

Helms Thomas F. Jr. · CIK 0001673345 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Helms Management Corp.

Disclosed balance after: 540,062

F1 · kind: Shares disposed of in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $20.80 per share.

F1 · price: Shares disposed of in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $20.80 per share.

F3 · ownership.direct: The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.

Read SEC document
January 03, 2018 Filed Jan 5, 2018 22:07 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
PurchaseCommon Stock 150,000 $20.80 $3,120,000.00
Disclosure

SEC source: 0001140361-18-001099 · doc1.xml · nonDerivative · entry 3

Standard General L.P. · CIK 0001409888 · 10% owner

Kim Soohyung · CIK 0001418202 · Director · See Footnote 3 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 350,000

F6 · kind: 100,000 of these shares were acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $20.80 per share.

F6 · price: 100,000 of these shares were acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $20.80 per share.

F1 · ownership.nature: The securities reported herein are beneficially owned by Standard General L.P. ("Standard General") in its capacity as investment manager to private investment vehicles. Mr. Kim is a director of the general partner of the general partner of Standard General and Chief Investment Officer of Standard General, and in such capacities may be deemed to indirectly beneficially own the securities reported herein.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: This Form 4 does not report any pecuniary interest of David Glazek in securities of the Issuer. Mr. Glazek, a director of the Issuer and a partner of Standard General, separately files reports under Section 16.

F6 · ownership.nature: 100,000 of these shares were acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $20.80 per share.

Read SEC document
November 13, 2017 Filed Nov 16, 2017 01:04 UTC PurchaseCommon Stock 7,697 $15.91 $122,459.27
Disclosure

SEC source: 0001140361-17-043038 · form4.xml · nonDerivative · entry 1

Diao H.C. Charles · CIK 0001591159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

F4 · price: Weighted average purchase price. On 11/13/17, the reporting person purchased the shares within a range of $15.84 to $15.939. 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 purchased at each separate price.

Read SEC document
September 14, 2017 Filed Sep 15, 2017 21:06 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
PurchaseCommon Stock 100,000 $17.09 $1,709,000.00
Disclosure

SEC source: 0001140361-17-035685 · doc1.xml · nonDerivative · entry 3

Standard General L.P. · CIK 0001409888 · 10% owner

Kim Soohyung · CIK 0001418202 · Director · See Footnote 3 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 200,000

F6 · kind: Shares acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $17.09 per share.

F6 · price: Shares acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $17.09 per share.

F1 · ownership.nature: The securities reported herein are beneficially owned by Standard General L.P. ("Standard General") in its capacity as investment manager to private investment vehicles. Mr. Kim is a director of the general partner of the general partner of Standard General and Chief Investment Officer of Standard General, and in such capacities may be deemed to indirectly beneficially own the securities reported herein. This Form 4 does not include any securities of the Issuer held by another private investment vehicle for which Standard General provides investment advice but with respect to which neither of the Reporting Persons has a pecuniary interest.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: This Form 4 does not report any pecuniary interest of David Glazek in securities of the Issuer. Mr. Glazek, a director of the Issuer and a partner of Standard General, separately files reports under Section 16.

F6 · ownership.nature: Shares acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $17.09 per share.

Read SEC document
September 14, 2017 Filed Sep 18, 2017 14:28 UTC SaleCommon Stock 100,000 $17.09 $1,709,000.00
Disclosure

SEC source: 0001140361-17-035737 · form4.xml · nonDerivative · entry 1

Helms Thomas F. Jr. · CIK 0001673345 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Helms Management Corp.

Disclosed balance after: 640,062

F1 · kind: Shares disposed in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $17.09 per share.

F1 · price: Shares disposed in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $17.09 per share.

F2 · ownership.direct: The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.

Read SEC document
August 31, 2017 Filed Sep 1, 2017 17:39 UTC
Dobbins James WellsGC, Secretary, Sr. VP
Exercise / conversionOptions · Derivative 12,002 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-17-034104 · form4.xml · derivative · entry 7

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,002 shares

Expires 2017-09-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F5 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.

Read SEC document
August 31, 2017 Filed Sep 1, 2017 17:39 UTC
Dobbins James WellsGC, Secretary, Sr. VP
SaleCommon Stock 12,002 $16.93 $203,193.86
Disclosure

SEC source: 0001140361-17-034104 · form4.xml · nonDerivative · entry 2

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,041

F8 · price: Weighted average sale price. On 8/31/2017, the reporting person sold the shares within a range of $16.71 to $17.18. 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.

Read SEC document
August 31, 2017 Filed Sep 1, 2017 17:39 UTC
Dobbins James WellsGC, Secretary, Sr. VP
Exercise / conversionCommon Stock 12,002 $1.06 $12,722.12
Disclosure

SEC source: 0001140361-17-034104 · form4.xml · nonDerivative · entry 1

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,043

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 18, 2017 Filed Aug 21, 2017 21:40 UTC PurchaseCommon Stock 1,300 $16.74 $21,762.00
Disclosure

SEC source: 0001140361-17-032870 · form4.xml · nonDerivative · entry 2

Diao H.C. Charles · CIK 0001591159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,303

F5 · price: Weighted average purchase price. On 8/18/17, the reporting person purchased the shares within a range of $16.69 to $16.79. 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 purchased at each separate price.

Read SEC document
August 17, 2017 Filed Aug 21, 2017 21:40 UTC PurchaseCommon Stock 2,003 $16.32 $32,688.96
Disclosure

SEC source: 0001140361-17-032870 · form4.xml · nonDerivative · entry 1

Diao H.C. Charles · CIK 0001591159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,003

F4 · price: Weighted average purchase price. On 8/17/17, the reporting person purchased the shares within a range of $15.95 to $16.271. 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 purchased at each separate price.

Read SEC document
August 16, 2017 Filed Aug 17, 2017 21:16 UTC Exercise / conversionOptions (2007) · Derivative 2,450 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-17-032626 · form4.xml · derivative · entry 5

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,450 shares

Expires 2017-09-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F3 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.

Read SEC document
August 16, 2017 Filed Aug 17, 2017 21:16 UTC Tax withholdingCommon Stock 157 $16.52 $2,593.64
Disclosure

SEC source: 0001140361-17-032626 · form4.xml · nonDerivative · entry 2

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,293

Read SEC document
August 16, 2017 Filed Aug 17, 2017 21:16 UTC Exercise / conversionCommon Stock 2,450 $1.06 $2,597.00
Disclosure

SEC source: 0001140361-17-032626 · form4.xml · nonDerivative · entry 1

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,450

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 16, 2017 Filed Aug 18, 2017 20:30 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
PurchaseCommon Stock 100,000 $16.52 $1,652,000.00
Disclosure

SEC source: 0001140361-17-032711 · doc1.xml · nonDerivative · entry 3

Standard General L.P. · CIK 0001409888 · 10% owner

Kim Soohyung · CIK 0001418202 · Director · See Footnote 3 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 100,000

F6 · kind: Shares acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $16.52 per share.

F6 · price: Shares acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $16.52 per share.

F1 · ownership.nature: The securities reported herein are beneficially owned by Standard General L.P. ("Standard General") in its capacity as investment manager to private investment vehicles. Mr. Kim is a director of the general partner of the general partner of Standard General and Chief Investment Officer of Standard General, and in such capacities may be deemed to indirectly beneficially own the securities reported herein. This Form 4 does not include any securities of the Issuer held by another private investment vehicle for which Standard General provides investment advice but with respect to which neither of the Reporting Persons has a pecuniary interest.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: This Form 4 does not report any pecuniary interest of David Glazek in securities of the Issuer. Mr. Glazek, a director of the Issuer and a partner of Standard General, separately files reports under Section 16.

F6 · ownership.nature: Shares acquired in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $16.52 per share.

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August 16, 2017 Filed Aug 21, 2017 19:58 UTC SaleCommon Stock 100,000 $16.52 $1,652,000.00
Disclosure

SEC source: 0001140361-17-032898 · form4.xml · nonDerivative · entry 1

Helms Thomas F. Jr. · CIK 0001673345 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Helms Management Corp.

Disclosed balance after: 740,062

F1 · kind: Shares disposed in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $16.52 per share.

F1 · price: Shares disposed in repayment of a debt obligation. For such purposes, the shares of Common Stock were valued at $16.52 per share.

F2 · ownership.direct: The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.

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August 14, 2017 Filed Aug 15, 2017 18:50 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionOptions (2008) · Derivative 7,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-17-032269 · form4.xml · derivative · entry 6

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,864

Underlying: Common Stock · 7,000 shares

Expires 2018-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F4 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on November 4, 2008, 16.66% of the underlying shares on January 1, 2009, 16.66% of the underlying shares on January 1, 2010 and the remaining 16.66% of the underlying shares on January 1, 2011.

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August 14, 2017 Filed Aug 15, 2017 18:50 UTC
Murray James MichaelSr. VP, Business Planning
SaleCommon Stock 3,000 $16.15 $48,450.00
Disclosure

SEC source: 0001140361-17-032269 · form4.xml · nonDerivative · entry 2

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,629

F7 · price: Weighted average sale price. On 8/14/2017, the reporting person sold the shares within a range of $16.00 to $16.42. 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.

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August 14, 2017 Filed Aug 15, 2017 18:50 UTC
Murray James MichaelSr. VP, Business Planning
Exercise / conversionCommon Stock 7,000 $1.06 $7,420.00
Disclosure

SEC source: 0001140361-17-032269 · form4.xml · nonDerivative · entry 1

Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,629

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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August 14, 2017 Filed Aug 15, 2017 18:09 UTC
Dobbins James WellsGC, Secretary, Sr. VP
Exercise / conversionOptions · Derivative 6,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-17-032253 · form4.xml · derivative · entry 7

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,002

Underlying: Common Stock · 6,000 shares

Expires 2017-09-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F5 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.

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August 14, 2017 Filed Aug 15, 2017 18:09 UTC
Dobbins James WellsGC, Secretary, Sr. VP
SaleCommon Stock 6,000 $16.04 $96,240.00
Disclosure

SEC source: 0001140361-17-032253 · form4.xml · nonDerivative · entry 2

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,041

F8 · price: Weighted average sale price. On 8/14/2017, the reporting person sold the shares within a range of $15.94 to $16.38. 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.

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August 14, 2017 Filed Aug 15, 2017 18:09 UTC
Dobbins James WellsGC, Secretary, Sr. VP
Exercise / conversionCommon Stock 6,000 $1.06 $6,360.00
Disclosure

SEC source: 0001140361-17-032253 · form4.xml · nonDerivative · entry 1

Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,041

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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June 15, 2017 Filed Jun 19, 2017 19:17 UTC
Wexler LawrenceDirector · President and CEO
Exercise / conversionOptions (2007) · Derivative 223,897 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001140361-17-025475 · form4.xml · derivative · entry 3

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 223,897 shares

Expires 2017-09-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F1 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on September 18, 2007, 16.66% of the underlying shares on January 1, 2008, 16.66% of the underlying shares on January 1, 2009 and the remaining 16.66% of the underlying shares on January 1, 2010.

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June 15, 2017 Filed Jun 19, 2017 19:17 UTC
Wexler LawrenceDirector · President and CEO
Tax withholdingCommon Stock 106,505 $15.37 $1,636,981.85
Disclosure

SEC source: 0001140361-17-025475 · form4.xml · nonDerivative · entry 2

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,896

Read SEC document
June 15, 2017 Filed Jun 19, 2017 19:17 UTC
Wexler LawrenceDirector · President and CEO
Exercise / conversionCommon Stock 223,897 $1.06 $237,330.82
Disclosure

SEC source: 0001140361-17-025475 · form4.xml · nonDerivative · entry 1

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,401

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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June 09, 2017 Filed Jun 13, 2017 21:05 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
OtherCommon Stock 105,319 $16.60 $1,748,295.40
Disclosure

SEC source: 0001140361-17-024875 · doc1.xml · nonDerivative · entry 2

Standard General L.P. · CIK 0001409888 · 10% owner

Kim Soohyung · CIK 0001418202 · Director · See Footnote 3 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 105,319

F5 · kind: Shares acquired in payment of a fee owed to Standard General in connection with its provision of investment advisory services. For such purposes, the shares of Common Stock were valued at $16.60 per share.

F5 · price: Shares acquired in payment of a fee owed to Standard General in connection with its provision of investment advisory services. For such purposes, the shares of Common Stock were valued at $16.60 per share.

F1 · ownership.nature: The securities reported herein are beneficially owned by Standard General L.P. ("Standard General"). Mr. Kim is a director of the general partner of the general partner of Standard General and Chief Investment Officer of Standard General, and in such capacities may be deemed to indirectly beneficially own the securities reported herein. This Form 4 does not include any securities of the Issuer held by another private investment vehicle for which Standard General provides investment advice but with respect to which neither of the Reporting Persons has a pecuniary interest.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: This Form 4 does not report any pecuniary interest of David Glazek in securities of the Issuer. Mr. Glazek, a director of the Issuer and a partner of Standard General, separately files reports under Section 16.

F5 · ownership.nature: Shares acquired in payment of a fee owed to Standard General in connection with its provision of investment advisory services. For such purposes, the shares of Common Stock were valued at $16.60 per share.

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June 01, 2017 Filed Jun 5, 2017 14:33 UTC OtherCommon Stock 500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-023751 · form4.xml · nonDerivative · entry 2

Helms Thomas F. Jr. · CIK 0001673345 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Helms Management Corp.

Disclosed balance after: 840,062

F4 · kind: The reporting person exchanged 500,000 shares of issuer common stock for 372,624 shares of Class A common stock of Standard Diversified Opportunities Inc., a Delaware corporation ("SDOI"). The exchange ratio used to establish the number of shares of Class A common stock to be issued by SDOI in exchange for the 500,000 shares of issuer common stock was determined by dividing the 30-calendar day trailing volume weighted average price of the issuer's common stock by SDOI's pro forma book value per share, in each case, calculated as of June 1, 2017, the date of the exchange.

F4 · price: The reporting person exchanged 500,000 shares of issuer common stock for 372,624 shares of Class A common stock of Standard Diversified Opportunities Inc., a Delaware corporation ("SDOI"). The exchange ratio used to establish the number of shares of Class A common stock to be issued by SDOI in exchange for the 500,000 shares of issuer common stock was determined by dividing the 30-calendar day trailing volume weighted average price of the issuer's common stock by SDOI's pro forma book value per share, in each case, calculated as of June 1, 2017, the date of the exchange.

F3 · ownership.direct: The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.

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June 01, 2017 Filed Jun 5, 2017 14:33 UTC OtherCommon Stock 400,000 $16.01 $6,405,080.00
Disclosure

SEC source: 0001140361-17-023751 · form4.xml · nonDerivative · entry 1

Helms Thomas F. Jr. · CIK 0001673345 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Helms Management Corp.

Disclosed balance after: 1,340,062

F1 · kind: The reporting person used 400,000 shares of issuer common stock as partial payment of a loan made to the reporting person and Helms Management Corp.

F2 · price: Pursuant to an agreement between the reporting person and the lender, the price per share of the 400,000 shares of issuer common stock used to pay down a portion of the loan was calculated as the 30-calendar day trailing volume weighted average price of the issuer's common stock on the date of payment.

F3 · ownership.direct: The reporting person is Chairman of and owns all of the voting capital stock of Helms Management Corp.

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June 01, 2017 Filed Jun 5, 2017 21:25 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
OtherCommon Stock 9,842,373 $16.01 $157,602,966.14
Disclosure

SEC source: 0001140361-17-023816 · doc1.xml · nonDerivative · entry 3

Standard General L.P. · CIK 0001409888 · 10% owner

Kim Soohyung · CIK 0001418202 · Director · See Footnote 3 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 9,842,373

F6 · kind: Shares owned directly by SDOI. SDOI acquired such shares pursuant to the terms of the Contribution and Exchange Agreement described in Footnote (1) above. For purposes of such acquisition, the shares were valued at the Per Share Closing Value. As a result of their beneficial ownership of securities of SDOI, the Reporting Persons may be deemed to beneficially own shares of Common Stock of Turning Point held by SDOI.

F6 · price: Shares owned directly by SDOI. SDOI acquired such shares pursuant to the terms of the Contribution and Exchange Agreement described in Footnote (1) above. For purposes of such acquisition, the shares were valued at the Per Share Closing Value. As a result of their beneficial ownership of securities of SDOI, the Reporting Persons may be deemed to beneficially own shares of Common Stock of Turning Point held by SDOI.

F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: This Form 4 does not report any pecuniary interest of David Glazek in securities of the Issuer. Mr. Glazek, a director of the Issuer and a partner of Standard General, separately files reports under Section 16.

F6 · ownership.nature: Shares owned directly by SDOI. SDOI acquired such shares pursuant to the terms of the Contribution and Exchange Agreement described in Footnote (1) above. For purposes of such acquisition, the shares were valued at the Per Share Closing Value. As a result of their beneficial ownership of securities of SDOI, the Reporting Persons may be deemed to beneficially own shares of Common Stock of Turning Point held by SDOI.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.