Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Turning Point Brands, Inc.TPB · Entity 4660 | Director · President and CEO | March 24, 2026 | March 26, 2026 |
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 March 24, 2026 · Filed March 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 265,983 |
Reported balance
After 2026-03-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-03-24 · Grant · Acquired 8,638 · Balance 265,983 F1: The reported transaction involved the reporting person's receipt of a grant of 8,638 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 27,094 restricted stock units and 238,889 shares of common stock. |
| Forward contractSEC Table II · derivative / convertible security | Direct | 140,140 |
Reported balance
Holding disclosure · report date 2026-03-24 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 140,140 F2: On December 8, 2025, the reporting person entered into a financing transaction with an unaffiliated dealer to receive approximately $12.3 million secured by a pledge of up to 140,140 shares of the issuer's common stock (the "Pledged Shares"). Beginning on the maturity date of December 10, 2026, the reporting person is obligated to repay the lender in cash or at the reporting person's election to deliver up to 140,140 shares of the Issuer's common stock at a price per share ranging from $91.50 to $104.45 based on the then prevailing market price. The reporting person retains beneficial ownership of the Pledged Shares, including dividend and voting rights. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported transaction involved the reporting person's receipt of a grant of 8,638 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 27,094 restricted stock units and 238,889 shares of common stock.
F2: On December 8, 2025, the reporting person entered into a financing transaction with an unaffiliated dealer to receive approximately $12.3 million secured by a pledge of up to 140,140 shares of the issuer's common stock (the "Pledged Shares"). Beginning on the maturity date of December 10, 2026, the reporting person is obligated to repay the lender in cash or at the reporting person's election to deliver up to 140,140 shares of the Issuer's common stock at a price per share ranging from $91.50 to $104.45 based on the then prevailing market price. The reporting person retains beneficial ownership of the Pledged Shares, including dividend and voting rights.
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 |
|---|---|---|---|---|---|---|
| October 28, 2021 Filed Oct 28, 2021 19:27 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantCommon Stock | 1,000 | $38.18 | $38,180.00 |
DisclosureSEC 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 29, 2021 18:18 UTC Amendment | Turning Point Brands, Inc. TPB · Entity 4660 | PurchaseCommon Stock | 1,000 | $38.18 | $38,180.00 |
DisclosureSEC 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 |
| March 08, 2021 Filed Mar 10, 2021 14:31 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionOptions (2011) · Derivative | 62,591 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Tax withholdingCommon Stock | 30,258 | $48.46 | $1,466,302.68 |
DisclosureSEC 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 | Turning Point Brands, Inc. TPB · Entity 4660 | Exercise / conversionCommon Stock | 62,591 | $3.83 | $239,723.53 |
DisclosureSEC 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 21:25 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2021) · Derivative | 9,000 | $0.00 Strike: $51.75 | $0.00 |
DisclosureSEC 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 |
| April 30, 2020 Filed May 1, 2020 15:19 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | PurchaseCommon Stock | 1,000 | $22.57 | $22,570.00 |
DisclosureSEC source: 0001567619-20-008731 · doc1.xml · nonDerivative · entry 1 Purdy Graham · CIK 0001794878 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,059 Read SEC document |
| March 18, 2020 Filed Mar 20, 2020 21:45 UTC | Turning Point Brands, Inc. TPB · Entity 4660 | GrantOptions (2020) · Derivative | 11,000 | $0.00 Strike: $14.85 | $0.00 |
DisclosureSEC source: 0001567619-20-006856 · doc1.xml · derivative · entry 2 Purdy Graham · CIK 0001794878 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2030-03-18 F4 · 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 the underlying shares on January 1, 2022, and 33% of the underlying shares on January 1, 2023. 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.