Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Turning Point Brands, Inc.TPB · Entity 4660 | Senior VP, Business Planning | November 28, 2018 | November 30, 2018 |
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.
Turning Point Brands, Inc.
Report date November 28, 2018 · Filed November 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 33,046 |
Ending reported balance
After 2018-11-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-11-28 · Exercise / conversion · Acquired 200 · Balance 33,246 Row 2 · 2018-11-28 · Sale · Disposed 200 · Balance 33,046 |
| Options (2011)SEC Table II · derivative / convertible security · Conversion / exercise price $3.83 · Expires 2021-08-25 | Direct | 37,891 |
Reported balance
After 2018-11-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-11-28 · Exercise / conversion · Disposed 200 · Balance 37,891 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. |
| Options (2018)SEC Table II · derivative / convertible security · Conversion / exercise price $21.21 · Expires 2028-03-07 | Direct | 7,500 |
Reported balance
Holding disclosure · report date 2018-11-28 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 7,500 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 | 6,000 |
Reported balance
Holding disclosure · report date 2018-11-28 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 6,000 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 | 29,731 |
Reported balance
Holding disclosure · report date 2018-11-28 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 29,731 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. |
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.
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 |
|---|---|---|---|---|---|---|
| April 09, 2018 Filed Apr 11, 2018 21:56 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 300 | $20.19 | $6,057.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 800 | $1.06 | $848.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 300 | $20.21 | $6,063.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 800 | $1.06 | $848.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 300 | $20.08 | $6,024.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 3,800 | $1.06 | $4,028.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 1,799 | $20.00 | $35,980.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 1,799 | $1.06 | $1,906.94 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions · Derivative | 1 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 1 | $20.00 | $20.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 1 | $1.06 | $1.06 |
DisclosureSEC 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 07, 2018 Filed Mar 9, 2018 23:42 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2018) · Derivative | 7,500 | $0.00 Strike: $21.21 | $0.00 |
DisclosureSEC 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 |
| August 14, 2017 Filed Aug 15, 2017 18:50 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions (2008) · Derivative | 7,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 18:50 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 3,000 | $16.15 | $48,450.00 |
DisclosureSEC 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. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 18:50 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 7,000 | $1.06 | $7,420.00 |
DisclosureSEC 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. Read SEC document |
| May 17, 2017 Filed May 18, 2017 21:19 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2017) · Derivative | 6,000 | $0.00 Strike: $15.41 | $0.00 |
DisclosureSEC source: 0001140361-17-021398 · form4.xml · derivative · entry 2 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2027-05-17 F5 · 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 |
| November 23, 2016 Filed Nov 29, 2016 01:29 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions (2007) · Derivative | 26,080 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001140361-16-088001 · form4.xml · derivative · entry 4 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,080 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. F2 · 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 |
| November 23, 2016 Filed Nov 29, 2016 01:29 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | SaleCommon Stock | 13,592 | $14.00 | $190,288.00 |
DisclosureSEC source: 0001140361-16-088001 · form4.xml · nonDerivative · entry 3 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,629 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.89 to $14.175, inclusive. The reporting person undertakes to provide to Turning Point Brands, Inc., any security holder of Turning Point Brands, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 23, 2016 Filed Nov 29, 2016 01:29 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 26,080 | $1.06 | $27,644.80 |
DisclosureSEC source: 0001140361-16-088001 · form4.xml · nonDerivative · entry 2 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,221 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 11, 2016 Filed Nov 29, 2016 01:29 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantCommon Stock | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-088001 · form4.xml · nonDerivative · entry 1 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141 Read SEC document |
| April 06, 2010 Filed Apr 6, 2018 22:41 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions · Derivative | 800 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001140361-18-017698 · form4.xml · derivative · entry 9 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,464 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 05, 2010 Filed Apr 6, 2018 22:41 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions · Derivative | 3,800 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001140361-18-017698 · form4.xml · derivative · entry 8 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,264 Underlying: Common Stock · 3,800 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 04, 2010 Filed Apr 6, 2018 22:41 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions · Derivative | 1,799 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001140361-18-017698 · form4.xml · derivative · entry 7 Murray James Michael · CIK 0001660136 · Sr. VP, Business Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,064 Underlying: Common Stock · 1,799 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.