TPB director granted 1,295 restricted stock units

Accepted by SEC EDGAR 05/13/2026 - 08:26 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Diao H.C. Charles reported acquisition or exercise transactions in this Form 4 filing.

Turning Point Brands, Inc. director H.C. Charles Diao received a grant of 1,295 restricted stock units under the company’s 2021 Equity Incentive Plan. These RSUs are a form of stock-based compensation rather than an open-market purchase. After the award, Diao’s reported direct holdings total 11,099 equity interests, consisting of the newly granted 1,295 restricted stock units and 9,804 shares of common stock.

Insider Trade Summary

Grant/Award: 1,295 shares

Grant/Award 1 txn

Insider Diao H.C. Charles

Role Director

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

Holdings After Transaction: Common Stock — 11,099 shares (Direct)

Holdings Before and After: Common Stock, 9,804 to 11,099 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 9,804 shares of common stock.

Key Figures

RSU grant size: 1,295 restricted stock units Grant reference price: $92.71 per share Total holdings after transaction: 11,099 equity interests +1 more

4 metrics

RSU grant size 1,295 restricted stock units Grant under 2021 Equity Incentive Plan on May 11, 2026

Grant reference price $92.71 per share Price per share reported for RSU grant

Total holdings after transaction 11,099 equity interests Holdings after RSU grant including stock and units

Common stock held 9,804 shares Common shares included in post-transaction total

Key Terms

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

3 terms

restricted stock units financial

"The reported transaction involved the reporting person's receipt of a grant of 1,295 restricted stock units"

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 H.C. Charles Diao report on this Form 4?

H.C. Charles Diao reported receiving a grant of 1,295 restricted stock units. The grant was made under Turning Point Brands, Inc.’s 2021 Equity Incentive Plan and represents stock-based compensation, not an open-market share purchase or sale.

How many Turning Point Brands (TPB) shares and units does H.C. Charles Diao hold after this grant?

Following the grant, Diao’s reported direct holdings total 11,099 equity interests. This figure includes the newly awarded 1,295 restricted stock units and 9,804 shares of Turning Point Brands common stock, as disclosed in the Form 4 footnote.

Was the May 11, 2026 TPB Form 4 transaction a stock purchase or a compensation award?

The filing shows a compensation award, not a stock purchase. Diao received 1,295 restricted stock units coded as a grant or award under the company’s equity incentive plan, rather than buying shares on the open market.

What does the transaction code "A" mean in the TPB Form 4 for H.C. Charles Diao?

Transaction code "A" indicates a grant, award, or other acquisition. In this case, it corresponds to Diao’s receipt of 1,295 restricted stock units under the 2021 Equity Incentive Plan, which increased his total reported holdings to 11,099 equity interests.

Under which plan were the 1,295 restricted stock units granted to TPB director H.C. Charles Diao?

The 1,295 restricted stock units were granted under Turning Point Brands, Inc.’s 2021 Equity Incentive Plan. The Form 4 footnote specifies that the reported transaction reflects a grant of RSUs pursuant to this stock-based compensation program.

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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^*

Diao H.C. Charles

(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	11,099(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 9,804 shares of common stock.

	/s/ Charles H.C. Diao	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)