Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Turning Point Brands, Inc.TPB · Entity 4660 | Sr. VP, CFO and CAO | May 17, 2017 | May 18, 2017 |
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 May 17, 2017 · Filed May 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options (2017)SEC Table II · derivative / convertible security · Conversion / exercise price $15.41 · Expires 2027-05-17 | Direct | 3,500 |
Reported balance
After 2017-05-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-05-17 · Grant · Acquired 3,500 · Balance 3,500 F3: 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, 2018, 33% of the underlying shares on January 1, 2019 and 33% of the underlying shares on January 1, 2020. |
| Common StockSEC Table I · non-derivative | Direct | 141 |
Reported balance
Holding disclosure · report date 2017-05-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 141 |
| Options (2016)SEC Table II · derivative / convertible security · Conversion / exercise price $9.26 · Expires 2026-08-09 | Direct | 53,996 |
Reported balance
Holding disclosure · report date 2017-05-17 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 53,996 F3: Granted pursuant to the issuer's 2015 Equity Incentive Plan. F2: The options vested and became exercisable as to 50% of the underlying shares on August 9, 2016. The options vest and become exercisable as to 25% of the underlying shares on August 9, 2017 and the remaining 25% of the underlying shares on August 9, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: The options vested and became exercisable as to 50% of the underlying shares on August 9, 2016. The options vest and become exercisable as to 25% of the underlying shares on August 9, 2017 and the remaining 25% of the underlying shares on August 9, 2018.
F3: Granted pursuant to the issuer's 2015 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 |
|---|---|---|---|---|---|---|
| May 17, 2017 Filed May 18, 2017 21:25 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2017) · Derivative | 3,500 | $0.00 Strike: $15.41 | $0.00 |
DisclosureSEC source: 0001140361-17-021400 · form4.xml · derivative · entry 2 Stegeman Mark · CIK 0001660254 · Sr. VP, CFO and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,500 shares Expires 2027-05-17 F3 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.