Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Real Brands, Inc.RLBD · Entity 130518 | Director | September 24, 2021 | October 07, 2021 |
| Turning Point Brands, Inc.TPB · Entity 4660 | GC, Secretary, Sr. VP | March 18, 2020 | March 20, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Real Brands, Inc.
Report date September 24, 2021 · Filed October 07, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to buy common stockSEC Table II · derivative / convertible security · Conversion / exercise price $0.03 · Expires 2025-10-31 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2021-09-24 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed |
Turning Point Brands, Inc.
Report date March 18, 2020 · Filed March 20, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options (2020)SEC Table II · derivative / convertible security · Conversion / exercise price $14.85 · Expires 2030-03-18 | Direct | 4,500 |
Reported balance
After 2020-03-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-03-18 · Grant · Acquired 4,500 · Balance 4,500 F5: Granted pursuant to the issuer's 2015 Equity Incentive Plan. F8: The options vest and become exercisable as to 34% of the underlying shares on January 1, 2021, 33% of underlying the shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023. |
| Common StockSEC Table I · non-derivative | Direct | 84,041 |
Reported balance
Holding disclosure · report date 2020-03-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 84,041 |
| Options (2019)SEC Table II · derivative / convertible security · Conversion / exercise price $47.58 · Expires 2029-03-20 | Direct | 11,500 |
Reported balance
Holding disclosure · report date 2020-03-18 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 11,500 F5: Granted pursuant to the issuer's 2015 Equity Incentive Plan. 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. |
| Options (2018)SEC Table II · derivative / convertible security · Conversion / exercise price $21.21 · Expires 2028-03-07 | Direct | 9,000 |
Reported balance
Holding disclosure · report date 2020-03-18 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 9,000 F5: Granted pursuant to the issuer's 2015 Equity Incentive Plan. F1: 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. |
| Options (2017)SEC Table II · derivative / convertible security · Conversion / exercise price $15.41 · Expires 2027-05-17 | Direct | 6,850 |
Reported balance
Holding disclosure · report date 2020-03-18 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 6,850 F5: Granted pursuant to the issuer's 2015 Equity Incentive Plan. F2: 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. |
| Options (2014)SEC Table II · derivative / convertible security · Conversion / exercise price $3.83 · Expires 2024-08-08 | Direct | 5,216 |
Reported balance
Holding disclosure · report date 2020-03-18 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 5,216 F6: Granted pursuant to the issuer's 2006 Equity Incentive Plan. 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. |
| Options (2011)SEC Table II · derivative / convertible security · Conversion / exercise price $3.83 · Expires 2021-08-25 | Direct | 31,296 |
Reported balance
Holding disclosure · report date 2020-03-18 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 31,296 F6: Granted pursuant to the issuer's 2006 Equity Incentive Plan. F4: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
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: 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.
F5: Granted pursuant to the issuer's 2015 Equity Incentive Plan.
F6: Granted pursuant to the issuer's 2006 Equity Incentive Plan.
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 underlying the shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 18, 2020 Filed Mar 20, 2020 21:47 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2020) · Derivative | 4,500 | $0.00 Strike: $14.85 | $0.00 |
DisclosureSEC source: 0001567619-20-006857 · doc1.xml · derivative · entry 2 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,500 Underlying: Common Stock · 4,500 shares Expires 2030-03-18 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, 2021, 33% of underlying the shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023. F8 · derivative.expiration_date: The options vest and become exercisable as to 34% of the underlying shares on January 1, 2021, 33% of underlying the shares on January 1, 2022 and 33% of the underlying shares on January 1, 2023. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 20:02 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2019) · Derivative | 11,500 | $0.00 Strike: $47.58 | $0.00 |
DisclosureSEC source: 0001567619-19-007466 · doc1.xml · derivative · entry 1 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,500 Underlying: Common Stock · 11,500 shares Expires 2029-03-20 F5 · security: Granted pursuant to the issuer's 2015 Equity Incentive Plan. F7 · derivative.exercise_date: 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. Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 18:47 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions (2008) · Derivative | 5,864 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001140361-18-028561 · doc1.xml · derivative · entry 3 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 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 |
| June 12, 2018 Filed Jun 14, 2018 18:47 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 5,864 | $30.21 | $177,151.44 |
DisclosureSEC source: 0001140361-18-028561 · doc1.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 6/12/2018, the reporting person sold the shares within a range of $30.17 to $30.29. 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 |
| June 12, 2018 Filed Jun 14, 2018 18:47 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 5,864 | $1.06 | $6,215.84 |
DisclosureSEC source: 0001140361-18-028561 · doc1.xml · nonDerivative · entry 1 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,905 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 23, 2018 Filed May 24, 2018 17:23 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions (2008) · Derivative | 5,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001140361-18-025482 · doc1.xml · derivative · entry 3 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,864 Underlying: Common Stock · 5,000 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. 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 |
| May 23, 2018 Filed May 24, 2018 17:23 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 5,000 | $25.00 | $125,000.00 |
DisclosureSEC source: 0001140361-18-025482 · doc1.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 Read SEC document |
| May 23, 2018 Filed May 24, 2018 17:23 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 5,000 | $1.06 | $5,300.00 |
DisclosureSEC source: 0001140361-18-025482 · doc1.xml · nonDerivative · entry 1 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,041 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 |
| March 07, 2018 Filed Mar 9, 2018 23:43 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2018) · Derivative | 9,000 | $0.00 Strike: $21.21 | $0.00 |
DisclosureSEC 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 |
| January 08, 2018 Filed Jan 9, 2018 21:20 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions (2008) · Derivative | 10,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 200 | $22.77 | $4,554.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 9,800 | $20.90 | $204,820.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 10,000 | $1.06 | $10,600.00 |
DisclosureSEC 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 |
| August 31, 2017 Filed Sep 1, 2017 17:39 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions · Derivative | 12,002 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 12,002 | $16.93 | $203,193.86 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 12,002 | $1.06 | $12,722.12 |
DisclosureSEC 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 14, 2017 Filed Aug 15, 2017 18:09 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions · Derivative | 6,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 18:09 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 6,000 | $16.04 | $96,240.00 |
DisclosureSEC 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. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 18:09 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 6,000 | $1.06 | $6,360.00 |
DisclosureSEC 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. Read SEC document |
| May 23, 2017 Filed May 24, 2017 22:25 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions (2007) · Derivative | 6,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001140361-17-022202 · form4.xml · derivative · entry 7 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,002 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. Read SEC document |
| May 23, 2017 Filed May 24, 2017 22:25 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 6,000 | $16.67 | $100,020.00 |
DisclosureSEC source: 0001140361-17-022202 · 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 5/23/2017, the reporting person sold the shares within a range of $16.56 to $16.81. 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 |
| May 23, 2017 Filed May 24, 2017 22:25 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 6,000 | $1.06 | $6,360.00 |
DisclosureSEC source: 0001140361-17-022202 · 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. Read SEC document |
| May 17, 2017 Filed May 18, 2017 21:27 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2017) · Derivative | 6,850 | $0.00 Strike: $15.41 | $0.00 |
DisclosureSEC source: 0001140361-17-021402 · form4.xml · derivative · entry 2 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,850 Underlying: Common Stock · 6,850 shares Expires 2027-05-17 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, 2018, 33% of the underlying shares on January 1, 2019 and 33% of the underlying shares on January 1, 2020. Read SEC document |
| February 07, 2017 Filed Feb 9, 2017 21:06 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Disposition to issuerOption (right to buy) · Derivative | 12,510 | $11.99 Strike: $1.06 | $149,994.90 |
DisclosureSEC source: 0001140361-17-005401 · form4.xml · derivative · entry 1 Dobbins James Wells · CIK 0001659531 · GC, Secretary, Sr. VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,002 Underlying: Common Stock · 12,510 shares Expires 2017-09-18 F2 · price: The options were canceled by mutual agreement of the reporting person and Turning Point Brands, Inc. The reporting person received $149,994.90 as consideration for the cancellation. 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 16.68% of the underlying shares on January 10, 2010. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.