TPB director granted 1,295 restricted stock units

Shanahan Kathleen M reported acquisition or exercise transactions in this Form 4 filing.

Accepted by SEC EDGAR 05/13/2026 - 08:40 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Shanahan Kathleen M reported acquisition or exercise transactions in this Form 4 filing.

Turning Point Brands director receives equity award. Director Kathleen M. Shanahan was granted 1,295 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan at a reference value of $92.71 per unit. After this award, she holds 2,353 shares and units in total, including 1,058 shares of common stock.

Insider Trade Summary

Grant/Award: 1,295 shares

Grant/Award 1 txn

Insider Shanahan Kathleen M

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	1,295	$92.71	$120K

Holdings After Transaction: Common Stock — 2,353 shares (Direct)

Holdings Before and After: Common Stock, 1,058 to 2,353 shares (Direct)

Footnotes (1)

1. F1. The reported transaction involved the reporting person's receipt of a grant of 1,295 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes the newly awarded 1,295 restricted stock units and 1,058 shares of common stock.

Key Figures

Restricted stock units granted: 1,295 units Grant value per unit: $92.71 per unit Total holdings after transaction: 2,353 shares and units +1 more

4 metrics

Restricted stock units granted 1,295 units Director equity award on 2026-05-11

Grant value per unit $92.71 per unit Reported grant price for restricted stock units

Total holdings after transaction 2,353 shares and units Reported in Column 5 after grant

Common shares included in total 1,058 shares Existing common stock held in total reported figure

Key Terms

restricted stock units, 2021 Equity Incentive Plan, grant, award, or other acquisition

3 terms

restricted stock units financial

"receipt of a grant of 1,295 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

2021 Equity Incentive Plan financial

"under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan"

grant, award, or other acquisition financial

"transaction code description: Grant, award, or other acquisition"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did TPB director Kathleen M. Shanahan report?

Kathleen M. Shanahan reported receiving an equity award, not an open-market trade. She was granted 1,295 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan as part of her compensation, increasing her total reported holdings to 2,353 shares and units.

How many TPB restricted stock units were granted to Kathleen M. Shanahan?

She received a grant of 1,295 restricted stock units. According to the disclosure, these units were issued under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan and are treated as part of her overall equity-based compensation as a director of the company.

What is Kathleen M. Shanahan’s total TPB equity holding after this grant?

Following the grant, her total reported holding is 2,353 shares and units. This figure includes the newly awarded 1,295 restricted stock units plus 1,058 shares of common stock reported as already held before the current equity award.

Was the TPB insider transaction a market purchase or sale?

The transaction was not a market purchase or sale. It reflects a grant or award acquisition of 1,295 restricted stock units as director compensation, rather than an open-market buy or sell of Turning Point Brands, Inc. common stock.

At what price were Kathleen M. Shanahan’s TPB restricted stock units valued?

The restricted stock units were valued at $92.71 per unit for reporting purposes. This price is used in the Form 4 disclosure to indicate the grant value and does not necessarily represent a cash transaction or an open-market trade price.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Shanahan Kathleen M

(Last) (First) (Middle)

5201 INTERCHANGE WAY

(Street)

LOUISVILLE KENTUCKY 40229

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Turning Point Brands, Inc. [ TPB ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/11/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/11/2026		A		1,295	A	$92.71	2,353(1)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The reported transaction involved the reporting person's receipt of a grant of 1,295 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes the newly awarded 1,295 restricted stock units and 1,058 shares of common stock.

	/s/ Kathleen Shanahan	05/13/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)