[144] Turning Point Brands, Inc. SEC Filing

Rhea-AI Filing Summary

Turning Point Brands, Inc. (TPB) filed a notice of proposed sale of restricted stock under Rule 144. The filing covers the planned sale of 1,000 shares of common stock through Morgan Stanley Smith Barney LLC on the NYSE, with an indicated aggregate market value of $101,000.00. The securities were acquired as restricted stock vesting under a registered plan from the issuer on 05/08/2024, in connection with services rendered. The notice states that the seller does not know of any undisclosed material adverse information about the issuer’s current or prospective operations.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	1000	101000.00	19070757	11/19/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/08/2024	Restricted stock vesting under a registered plan	Issuer			1000	05/08/2024	Services Rendered

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What is Form 144 filed by TPB and what does it disclose?

The Form 144 for Turning Point Brands, Inc. (TPB) discloses a proposed sale of 1,000 common shares under Rule 144, indicating the seller’s intent to sell restricted stock through a broker on a public exchange.

How many TPB shares are proposed to be sold and what is their market value?

The notice covers 1,000 shares of TPB common stock with an indicated aggregate market value of $101,000.00 at the time of the filing.

On which exchange and through which broker will the TPB shares be sold?

The proposed sale of TPB common stock is to be executed on the NYSE through Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, New York, NY 10004.

When were the TPB shares acquired and how were they obtained?

The 1,000 shares to be sold were acquired on 05/08/2024 as restricted stock vesting under a registered plan from the issuer, in connection with services rendered.

What is the total number of TPB shares outstanding referenced in the Form 144?

The filing references 19,070,757 shares of TPB common stock outstanding in connection with the Rule 144 notice.

Does the seller in this TPB Form 144 claim to have any undisclosed adverse information?

No. By signing the notice, the seller represents that they do not know any material adverse information about TPB’s current or prospective operations that has not been publicly disclosed.

How does Rule 144 apply to this TPB stock sale?

Rule 144 allows public resale of restricted or control securities if specific conditions are met. This Form 144 serves as a notice of the seller’s intent to sell 1,000 restricted shares of TPB common stock under that rule.