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TPB

Turning Point Brands, Inc.

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Tapewire entity
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
Oct 202600

Latest available

Insider transactions

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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
February 03, 2022 Filed Feb 7, 2022 21:59 UTC
Purdy GrahamChief Operating Officer
Tax withholdingCommon Stock 2,878 $33.92 $97,621.76
Disclosure

SEC source: 0001567619-22-002682 · doc1.xml · nonDerivative · entry 2

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,484

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:59 UTC
Purdy GrahamChief Operating Officer
GrantCommon Stock 8,970 $33.92 $304,262.40
Disclosure

SEC source: 0001567619-22-002682 · doc1.xml · nonDerivative · entry 1

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,362

F9 · shares: Represents shares issued upon settlement of performance restricted stock units granted to the reporting person in March 2017. The compensation committee of the Board of Directors determined that the performance criteria were met on February 3, 2021.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:58 UTC Tax withholdingCommon Stock 8,823 $33.92 $299,276.16
Disclosure

SEC source: 0001567619-22-002681 · doc1.xml · nonDerivative · entry 2

Wexler Lawrence · CIK 0001660246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,903

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:58 UTC GrantCommon Stock 28,256 $33.92 $958,443.52
Disclosure

SEC source: 0001567619-22-002681 · doc1.xml · nonDerivative · entry 1

Wexler Lawrence · CIK 0001660246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 382,726

F9 · shares: Represents shares issued upon settlement of performance restricted stock units granted to the reporting person in March 2017. The compensation committee of the Board of Directors determined that the performance criteria were met on February 3, 2021.

Read SEC document
February 03, 2022 Filed May 3, 2022 21:14 UTC
Purdy GrahamChief Operating Officer
GrantDividend Equivalent Right · Derivative 213 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-009442 · doc1.xml · derivative · entry 9

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213

Underlying: Common Stock · 213 shares

Expires not disclosed

F12 · derivative.exercise_price: Each dividend equivalent right was the economic equivalent of one share of the Company's common stock.

F13 · shares: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 213 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

F13 · derivative.exercise_date: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 213 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

F13 · derivative.expiration_date: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 213 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

Read SEC document
February 03, 2022 Filed May 3, 2022 21:13 UTC
Cushman BrittaniSr VP, General Counsel
GrantDividend Equivalent Right · Derivative 107 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-009439 · doc1.xml · derivative · entry 10

Cushman Brittani · CIK 0001831600 · Sr VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107

Underlying: Common Stock · 107 shares

Expires not disclosed

F11 · derivative.exercise_price: Each dividend equivalent right was the economic equivalent of one share of the Company's common stock.

F12 · shares: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 107 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

F12 · derivative.exercise_date: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 107 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

F12 · derivative.expiration_date: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 107 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

Read SEC document
February 03, 2022 Filed May 3, 2022 21:11 UTC GrantDividend Equivalent Right · Derivative 671 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-009437 · doc1.xml · derivative · entry 8

Wexler Lawrence · CIK 0001660246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 671

Underlying: Common Stock · 671 shares

Expires not disclosed

F10 · derivative.exercise_price: Each dividend equivalent right was the economic equivalent of one share of the Company's common stock.

F11 · shares: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 671 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

F11 · derivative.exercise_date: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 671 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

F11 · derivative.expiration_date: In connection with the vesting and settlement of previously-granted performance-based restricted stock units, which settled in shares of the Company's common stock on February 3, 2022, the reporting person acquired 671 fully-vested dividend equivalent rights pursuant to the terms of the applicable award agreement.

Read SEC document
October 28, 2021 Filed Oct 28, 2021 19:29 UTC
Cushman BrittaniSr VP, General Counsel
GrantCommon Stock 500 $38.22 $19,108.10
Disclosure

SEC source: 0001567619-21-018869 · doc1.xml · nonDerivative · entry 1

Cushman Brittani · CIK 0001831600 · Sr VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 597

Read SEC document
October 28, 2021 Filed Oct 28, 2021 19:27 UTC
Purdy GrahamChief Operating Officer
GrantCommon Stock 1,000 $38.18 $38,180.00
Disclosure

SEC source: 0001567619-21-018867 · doc1.xml · nonDerivative · entry 1

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,392

F10 · price: Average price paid for common stock based on a high price of $38.27 and a low price of $38.08.

F2 · balance_after: 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.

Read SEC document
October 28, 2021 Filed Oct 28, 2021 19:27 UTC
Reformina LuisSr VP, CFO
GrantCommon Stock 650 $37.97 $24,680.50
Disclosure

SEC source: 0001567619-21-018868 · doc1.xml · nonDerivative · entry 1

Reformina Luis · CIK 0001858265 · Sr VP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650

Read SEC document
October 28, 2021 Filed Oct 28, 2021 19:25 UTC
Wexler LawrenceDirector · President and CEO
GrantCommon Stock 1,500 $37.95 $56,924.85
Disclosure

SEC source: 0001567619-21-018866 · doc1.xml · nonDerivative · entry 1

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,470

Read SEC document
October 28, 2021 Filed Oct 29, 2021 18:19 UTC Amendment
Reformina LuisSr VP, CFO
PurchaseCommon Stock 650 $37.97 $24,680.50
Disclosure

SEC source: 0001567619-21-018974 · doc1.xml · nonDerivative · entry 1

Reformina Luis · CIK 0001858265 · Sr VP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650

Read SEC document
October 28, 2021 Filed Oct 29, 2021 18:20 UTC Amendment
Cushman BrittaniSr VP, General Counsel
PurchaseCommon Stock 500 $38.22 $19,108.10
Disclosure

SEC source: 0001567619-21-018975 · doc1.xml · nonDerivative · entry 1

Cushman Brittani · CIK 0001831600 · Sr VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 597

Read SEC document
October 28, 2021 Filed Oct 29, 2021 18:18 UTC Amendment
Purdy GrahamChief Operating Officer
PurchaseCommon Stock 1,000 $38.18 $38,180.00
Disclosure

SEC source: 0001567619-21-018973 · doc1.xml · nonDerivative · entry 1

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,392

F10 · price: Average price paid for common stock based on a high price of $38.27 and a low price of $38.08.

F2 · balance_after: 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.

Read SEC document
October 28, 2021 Filed Oct 29, 2021 18:18 UTC Amendment
Wexler LawrenceDirector · President and CEO
PurchaseCommon Stock 1,500 $37.95 $56,924.85
Disclosure

SEC source: 0001567619-21-018972 · doc1.xml · nonDerivative · entry 1

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,470

Read SEC document
August 03, 2021 Filed Aug 5, 2021 20:32 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
SaleCommon Stock, $.01 par value ("Common Stock") 818,000 $50.65 $41,431,700.00
Disclosure

SEC source: 0001567619-21-014506 · doc1.xml · nonDerivative · entry 1

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: 2,249,056

F1 · ownership.nature: The securities reported herein may be deemed to be 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.

Read SEC document
July 29, 2021 Filed Aug 2, 2021 12:50 UTC GrantRestricted Stock Units (2021) · Derivative 1,159 $0.00 Strike: $51.81 $0.00
Disclosure

SEC source: 0001567619-21-014238 · doc1.xml · derivative · entry 1

Efremov Yavor · CIK 0001843574 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,159

Underlying: Common Stock · 1,159 shares

Expires 2022-07-29

F1 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

Read SEC document
May 17, 2021 Filed May 18, 2021 21:06 UTC
Wigginton BrianSr VP Finance & CAO
GrantOptions (2021) · Derivative 2,500 $0.00 Strike: $45.05 $0.00
Disclosure

SEC source: 0001567619-21-010640 · doc1.xml · derivative · entry 1

Wigginton Brian · CIK 0001734429 · Sr VP Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2031-05-17

F7 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

F6 · derivative.exercise_date: 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.

Read SEC document
May 14, 2021 Filed May 17, 2021 20:12 UTC Exercise / conversionOptions (2013) · Derivative 31,296 $0.00 Strike: $3.83 $0.00
Disclosure

SEC source: 0001567619-21-010484 · doc1.xml · derivative · entry 4

Diao H.C. Charles · CIK 0001591159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,296 shares

Expires 2023-04-05

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.

F3 · security: Granted pursuant to the issuer's 2006 Equity Incentive Plan.

F2 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on April 5, 2013, 16.66% of the underlying shares on December 31, 2013, 16.66% of the underlying shares on December 31, 2014 and the remaining 16.66% of the underlying shares on December 31, 2015.

Read SEC document
May 14, 2021 Filed May 17, 2021 20:12 UTC Tax withholdingCommon Stock 14,090 $45.79 $645,181.10
Disclosure

SEC source: 0001567619-21-010484 · doc1.xml · nonDerivative · entry 2

Diao H.C. Charles · CIK 0001591159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,206

Read SEC document
May 14, 2021 Filed May 17, 2021 20:12 UTC Exercise / conversionCommon Stock 31,296 $3.83 $119,863.68
Disclosure

SEC source: 0001567619-21-010484 · doc1.xml · nonDerivative · entry 1

Diao H.C. Charles · CIK 0001591159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,296

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
May 04, 2021 Filed May 6, 2021 10:56 UTC GrantRestricted Stock Units (2021) · Derivative 1,464 $0.00 Strike: $47.86 $0.00
Disclosure

SEC source: 0001567619-21-009172 · doc1.xml · derivative · entry 2

Usher Stephen · CIK 0001853908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,464

Underlying: Common Stock · 1,464 shares

Expires 2022-05-04

F2 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

Read SEC document
May 04, 2021 Filed May 6, 2021 06:48 UTC GrantRestricted Stock Units (2021) · Derivative 1,255 $0.00 Strike: $47.86 $0.00
Disclosure

SEC source: 0001567619-21-009168 · doc1.xml · derivative · entry 2

Arnold Zimmerman · CIK 0001673331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,255

Underlying: Common Stock · 1,255 shares

Expires 2022-05-04

F2 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

Read SEC document
May 04, 2021 Filed May 6, 2021 10:53 UTC GrantRestricted Stock Units (2021) · Derivative 1,255 $0.00 Strike: $47.86 $0.00
Disclosure

SEC source: 0001567619-21-009170 · doc1.xml · derivative · entry 2

Frushone Ashley Davis · CIK 0001751483 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,255

Underlying: Common Stock · 1,255 shares

Expires 2022-05-04

F1 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

Read SEC document
May 04, 2021 Filed May 6, 2021 10:46 UTC GrantRestricted Stock Units (2021) · Derivative 1,464 $0.00 Strike: $47.86 $0.00
Disclosure

SEC source: 0001567619-21-009166 · doc1.xml · derivative · entry 3

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,464

Underlying: Common Stock · 1,464 shares

Expires 2022-05-04

F3 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

Read SEC document
May 04, 2021 Filed May 6, 2021 10:41 UTC GrantRestricted Stock Units (2021) · Derivative 785 $0.00 Strike: $47.86 $0.00
Disclosure

SEC source: 0001567619-21-009162 · doc1.xml · derivative · entry 4

Diao H.C. Charles · CIK 0001591159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 785

Underlying: Common Stock · 785 shares

Expires 2022-05-04

F4 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

Read SEC document
May 04, 2021 Filed May 6, 2021 10:44 UTC GrantRestricted Stock Units (2021) · Derivative 1,255 $0.00 Strike: $47.86 $0.00
Disclosure

SEC source: 0001567619-21-009164 · doc1.xml · derivative · entry 1

Grazioli-Venier Assia · CIK 0001835249 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,255

Underlying: Common Stock · 1,255 shares

Expires 2022-05-04

F1 · security: Granted pursuant to the issuer's 2021 Equity Incentive Plan.

Read SEC document
May 03, 2021 Filed May 4, 2021 20:10 UTC
Reformina LuisSr VP, CFO
GrantOptions (2021) · Derivative 12,000 $0.00 Strike: $47.76 $0.00
Disclosure

SEC source: 0001567619-21-008970 · doc1.xml · derivative · entry 5

Reformina Luis · CIK 0001858265 · Sr VP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2031-05-03

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

F4 · derivative.exercise_date: 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.

Read SEC document
May 03, 2021 Filed May 5, 2021 22:26 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
SaleCommon Stock, $.01 par value ("Common Stock") 880,000 $46.74 $41,131,200.00
Disclosure

SEC source: 0001567619-21-009150 · doc1.xml · nonDerivative · entry 1

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: 3,067,056

F1 · ownership.nature: The securities reported herein may be deemed to be 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.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 14:31 UTC
Purdy GrahamChief Operating Officer
Exercise / conversionOptions (2011) · Derivative 62,591 $0.00 Strike: $3.83 $0.00
Disclosure

SEC source: 0001567619-21-005956 · doc1.xml · derivative · entry 9

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 62,591 shares

Expires 2021-08-25

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.

F1 · security: Granted pursuant to the issuer's 2006 Equity Plan

F2 · derivative.exercise_date: The options vested and became exercisable as to 50% of the underlying shares on August 25, 2011, 16.66% of the underlying shares on August 25, 2012, 16.66% of the underlying shares on August 25, 2013 and the remaining 16.66% of the underlying shares on August 25, 2014.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 14:31 UTC
Purdy GrahamChief Operating Officer
Tax withholdingCommon Stock 30,258 $48.46 $1,466,302.68
Disclosure

SEC source: 0001567619-21-005956 · doc1.xml · nonDerivative · entry 2

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,392

Read SEC document
March 08, 2021 Filed Mar 10, 2021 14:31 UTC
Purdy GrahamChief Operating Officer
Exercise / conversionCommon Stock 62,591 $3.83 $239,723.53
Disclosure

SEC source: 0001567619-21-005956 · doc1.xml · nonDerivative · entry 1

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,650

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
February 18, 2021 Filed Feb 22, 2021 21:31 UTC
Wigginton BrianVP & Chief Accounting Officer
GrantOptions (2021) · Derivative 1,750 $0.00 Strike: $51.75 $0.00
Disclosure

SEC source: 0001567619-21-004594 · doc1.xml · derivative · entry 1

Wigginton Brian · CIK 0001734429 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

Underlying: Common Stock · 1,750 shares

Expires 2031-02-18

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

F6 · derivative.exercise_date: 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.

Read SEC document
February 18, 2021 Filed Feb 22, 2021 16:21 UTC SaleCommon Stock 2,735 $51.76 $141,560.32
Disclosure

SEC source: 0001567619-21-004586 · doc1.xml · nonDerivative · entry 2

Arnold Zimmerman · CIK 0001673331 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Arnold Zimmerman Revocable Trust

Disclosed balance after: 59,857

F1 · ownership.nature: Mr. Zimmerman as Trustee for Arnold Zimmerman Revocable Trust. An immediate family member is a beneficiary of the Trust.

Read SEC document
February 18, 2021 Filed Feb 22, 2021 16:21 UTC SaleCommon Stock 2,265 $51.76 $117,233.68
Disclosure

SEC source: 0001567619-21-004586 · doc1.xml · nonDerivative · entry 1

Arnold Zimmerman · CIK 0001673331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
February 18, 2021 Filed Feb 22, 2021 21:29 UTC
Cushman BrittaniSr VP, General Counsel
GrantOptions (2021) · Derivative 7,000 $0.00 Strike: $51.75 $0.00
Disclosure

SEC source: 0001567619-21-004592 · doc1.xml · derivative · entry 3

Cushman Brittani · CIK 0001831600 · Sr VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2031-02-18

F2 · 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 January 1, 2022, 33% of the underlying shares on January 1, 2023 and 33% of the underlying shares on January 1, 2024.

Read SEC document
February 18, 2021 Filed Feb 22, 2021 21:27 UTC GrantOptions (2021) · Derivative 9,500 $0.00 Strike: $51.75 $0.00
Disclosure

SEC source: 0001567619-21-004591 · doc1.xml · derivative · entry 2

Lavan Robert M. · CIK 0001733907 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,500

Underlying: Common Stock · 9,500 shares

Expires 2031-02-18

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

F6 · derivative.exercise_date: 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.

Read SEC document
February 18, 2021 Filed Feb 22, 2021 21:25 UTC
Purdy GrahamChief Operating Officer
GrantOptions (2021) · Derivative 9,000 $0.00 Strike: $51.75 $0.00
Disclosure

SEC source: 0001567619-21-004589 · doc1.xml · derivative · entry 2

Purdy Graham · CIK 0001794878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-02-18

F4 · security: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F9 · derivative.exercise_date: 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.

Read SEC document
February 18, 2021 Filed Feb 22, 2021 21:23 UTC
Wexler LawrenceDirector · President and CEO
GrantOptions (2021) · Derivative 15,900 $0.00 Strike: $51.75 $0.00
Disclosure

SEC source: 0001567619-21-004587 · doc1.xml · derivative · entry 2

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,900

Underlying: Common Stock · 15,900 shares

Expires 2031-02-18

F5 · security: Granted pursuant to the issuer's 2015 Equity Incentive Plan.

F8 · derivative.exercise_date: 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.

Read SEC document
February 16, 2021 Filed Feb 18, 2021 21:53 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
SaleCommon Stock, $.01 par value ("Common Stock") 2,000,000 $56.00 $112,000,000.00
Disclosure

SEC source: 0001567619-21-004412 · doc1.xml · nonDerivative · entry 1

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: 3,947,056

F1 · ownership.nature: The securities reported herein may be deemed to be 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.

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October 29, 2020 Filed Nov 2, 2020 21:37 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
SaleCommon Stock, $.01 par value ("Common Stock") 400,000 $35.60 $14,240,000.00
Disclosure

SEC source: 0001567619-20-018544 · doc1.xml · nonDerivative · entry 1

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: 5,947,040

F1 · ownership.nature: The securities reported herein may be deemed to be 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.

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October 13, 2020 Filed Oct 15, 2020 21:30 UTC Exercise / conversionOption (2011) · Derivative 31,296 $0.00 Strike: $3.83 $0.00
Disclosure

SEC source: 0001567619-20-017875 · doc1.xml · derivative · entry 3

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,296 shares

Expires 2020-12-31

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.

F1 · security: Grant 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 February 15, 2011, 16.68% of the underlying shares on December 31, 2011, 16.66% of the underlying shares on December 31, 2012 and the remaining 16.66% of the underlying shares on December 31, 2013.

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October 13, 2020 Filed Oct 15, 2020 21:30 UTC Tax withholdingCommon Stock 12,117 $30.75 $372,597.75
Disclosure

SEC source: 0001567619-20-017875 · doc1.xml · nonDerivative · entry 2

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,263

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October 13, 2020 Filed Oct 15, 2020 21:30 UTC Exercise / conversionCommon Stock 31,296 $3.83 $119,863.68
Disclosure

SEC source: 0001567619-20-017875 · doc1.xml · nonDerivative · entry 1

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,380

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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July 16, 2020 Filed Jul 20, 2020 16:22 UTC GrantCommon Stock 2,265 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-013486 · doc1.xml · nonDerivative · entry 1

Arnold Zimmerman · CIK 0001673331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,265

F1 · date: On April 8, 2020, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Standard Diversified, Inc ("SDI"). Only July 16, 2020 (the "Effective Time"), SDI merged with and into the Issuer.

F2 · price: These shares were received in exchange for 4,346 shares of SDI's Class A Common Stock.

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July 16, 2020 Filed Jul 20, 2020 20:05 UTC GrantCommon Stock 12,791 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-013484 · doc1.xml · nonDerivative · entry 1

Baxter Gregory H.A. · CIK 0001656520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,084

F1 · date: On April 8, 2020, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Standard Diversified, Inc ("SDI"). On July 16, 2020 (the "Effective Time"), SDI merged with and into the Issuer.

F2 · price: These shares were received in exchange for 4,346 shares of SDI's Class A Common Stock.

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July 13, 2020 Filed Jul 15, 2020 21:01 UTC SaleCommon Stock 1,800,000 $22.44 $40,396,500.00
Disclosure

SEC source: 0001140361-20-016110 · form4.xml · nonDerivative · entry 1

STANDARD DIVERSIFIED INC. · CIK 0000911649 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,178,918

F1 · kind: This sale was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with a purchase of the common stock of the issuer by the reporting person within the past six months. The reporting person and the Issuer have entered into an agreement under which the reporting person has made arrangements to remit to the issuer the full amount of the reporting person's pecuniary interest in the disgorgeable profit arising from such transaction.

F2 · price: The reporting person sold these shares as part of a public offering of an aggregate of 2,000,000 shares of the issuer's common stock. The price per share reflects the public offering price of $23.50 per share, net of the 4.5% underwriting discount.

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July 13, 2020 Filed Jul 15, 2020 21:02 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
SaleCommon Stock 415,000 $22.44 $9,313,637.50
Disclosure

SEC source: 0001567619-20-013309 · 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: 1,534

F2 · price: Represents shares sold in a registered public offering of share of the Issuer's Common Stock. The price per share reflects the public offering price of $23.50 per share, net of a 4.5% underwriting discount.

F4 · ownership.nature: The securities reported herein may be deemed to be 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.

F5 · 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.

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July 13, 2020 Filed Jul 15, 2020 21:02 UTC
Kim SoohyungDirector · See Footnote 3 · 10% owner
SaleCommon Stock, $.01 par value ("Common Stock") 1,800,000 $22.44 $40,396,500.00
Disclosure

SEC source: 0001567619-20-013309 · doc1.xml · nonDerivative · entry 1

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: 8,178,918

F1 · kind: Represents shares sold by Standard Diversified Inc. ("SDI"). This sale was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with a purchase of the Common Stock of the Issuer by SDI within the past six months. SDI and the Issuer have entered into an agreement under which SDI has made arrangements to remit to the Issuer the full amount of the reporting person's pecuniary interest in the disgorgeable profit arising from such transaction.

F2 · price: Represents shares sold in a registered public offering of share of the Issuer's Common Stock. The price per share reflects the public offering price of $23.50 per share, net of a 4.5% underwriting discount.

F3 · ownership.nature: Shares owned directly by SDI. As a result of their beneficial ownership of securities of SDI, the Reporting Persons may be deemed to beneficially own shares of Common Stock of the Issuer held by SDI.

F4 · ownership.nature: The securities reported herein may be deemed to be 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.

F5 · 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.

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May 01, 2020 Filed May 4, 2020 18:01 UTC
Wexler LawrenceDirector · President and CEO
PurchaseCommon Stock 1,500 $22.83 $34,245.00
Disclosure

SEC source: 0001567619-20-008892 · doc1.xml · nonDerivative · entry 1

Wexler Lawrence · CIK 0001660246 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,970

F8 · price: Weighted average sale price. On 05/01/2020, the reporting person purchased the shares within a range of $22.80 to $22.86. 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.

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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.