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  4. [Form 4] Turning Point Brands, Inc. Insider Trading Activity

TPB executive reports new RSU grant and tax share offsets

Turning Point Brands, Inc. senior vice president of finance and chief accounting officer Brian Wigginton reported multiple equity compensation transactions in the company’s common stock.

Filing Impact
(Very High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Turning Point Brands, Inc. senior vice president of finance and chief accounting officer Brian Wigginton reported multiple equity compensation transactions in the company’s common stock. On March 2, 2026, he acquired several blocks of common shares upon settlement of performance restricted units that had been granted between February 2021 and March 2025, after the compensation committee confirmed that the performance criteria were met on March 2, 2026.

The same day, shares of common stock were withheld at prices around $100.65 per share to cover tax obligations tied to vesting restricted stock units, and on January 2, 2026 an additional 199 shares were withheld at $110.24 per share for taxes. On March 3, 2026, he received a grant of 2,041 restricted stock units under the 2021 Equity Incentive Plan at a reference price of $107.57. Following these transactions, his direct holdings reported in Column 5 include 6,392 restricted stock units and 6,838 shares of common stock.

Positive

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Negative

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Insider Wigginton Brian
Role Sr VP Finance & CAO
Type Security Shares Price Value
Grant/Award Common Stock 2,041 $107.57 $220K
Grant/Award Common Stock 2,391 $108.51 $259K
Grant/Award Common Stock 333 $108.51 $36K
Grant/Award Common Stock 1,757 $108.51 $191K
Grant/Award Common Stock 322 $108.51 $35K
Grant/Award Common Stock 121 $108.51 $13K
Exercise Price or Tax Liability Common Stock 2,309 $100.65 $232K
Exercise Price or Tax Liability Common Stock 1,398 $100.65 $141K
Exercise Price or Tax Liability Common Stock 199 $110.24 $22K
Holdings After Transaction: Common Stock — 13,230 shares (Direct)
Footnotes (10)
  1. F1. The reported transaction involves shares withheld for the payment of taxes related to the person's receipt of grants of restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan that vested on January 2, 2026, and not previously reported. The total reported in Column 5 includes 5,749 restricted stock units, and 4,223 shares of common stock.
  2. F2. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in February 2021. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 6,614 shares of common stock.
  3. F3. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in March 2022. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 6,947 shares of common stock.
  4. F4. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in May 2023. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 8,704 shares of common stock.
  5. F5. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in March 2024. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 9,026 shares of common stock.
  6. F6. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in March 2025. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 9,147 shares of common stock.
  7. F7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.53 to $102.04.
  8. F8. The reported transaction involves shares withheld for the payment of taxes related to the person's receipt of grants of restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 5,749 restricted stock units and 6,838 shares of common stock.
  9. F9. The reported transaction involves shares withheld for the payment of taxes related to the person's receipt of grants of restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 4,351 restricted stock units and 6,838 shares of common stock.
  10. F10. The reported transaction involved the person's receipt of a grant of 2,041 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 6,392 restricted stock units and 6,838 shares of common stock.

FAQ

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

What insider transactions did TPB executive Brian Wigginton report on this Form 4?
Brian Wigginton reported multiple equity compensation transactions, including common stock issued upon settlement of performance restricted units from 2021–2025 grants and shares withheld to pay related tax liabilities. He also reported receiving a new grant of 2,041 restricted stock units under the 2021 Equity Incentive Plan.

How many restricted stock units did TPB’s Brian Wigginton receive in his latest grant?
He received a grant of 2,041 restricted stock units tied to Turning Point Brands’ 2021 Equity Incentive Plan. The grant used a reference price of $107.57 per share, and after this grant, Column 5 shows 6,392 restricted stock units and 6,838 shares of common stock held directly.

Were any of Brian Wigginton’s TPB share disposals open-market sales?
The reported disposals were not open-market sales but shares withheld to cover tax obligations. Shares were withheld at prices such as $100.65 and $110.24 per share in connection with vesting or settlement of restricted stock units under Turning Point Brands’ 2021 Equity Incentive Plan.

What performance-based awards for TPB did Brian Wigginton have settled in 2026?
Common stock was issued upon settlement of performance restricted units granted in February 2021, March 2022, May 2023, March 2024, and March 2025. The compensation committee determined that performance criteria for these awards were met on March 2, 2026, triggering share delivery.

What are Brian Wigginton’s reported TPB holdings after these Form 4 transactions?
After the reported transactions, Column 5 shows Brian Wigginton holding 6,392 restricted stock units and 6,838 shares of Turning Point Brands common stock directly. These figures include the newly granted 2,041 restricted stock units and shares received or withheld in connection with recent vesting events.

Which equity plan governs the reported grants and vesting for TPB executive Brian Wigginton?
The grants, performance restricted unit settlements, and tax-withholding share dispositions are tied to Turning Point Brands’ 2021 Equity Incentive Plan. Footnotes specify that both time-based restricted stock units and performance restricted units vested or settled under this plan in early 2026.

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

Form 4 Insider Transactions: What Each Field Means →
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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*
Wigginton Brian
(Last) (First) (Middle)
5201 INTERCHANGE WAY
(Street)
LOUISVILLE KY 40229
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Turning Point Brands, Inc. [ TPB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr VP Finance & CAO
3. Date of Earliest Transaction (Month/Day/Year)
01/02/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 01/02/2026 F 199 D $110.24 9,972(1) D
Common Stock 03/02/2026 A 2,391 A $108.51 12,363(2) D
Common Stock 03/02/2026 A 333 A $108.51 12,696(3) D
Common Stock 03/02/2026 A 1,757 A $108.51 14,453(4) D
Common Stock 03/02/2026 A 322 A $108.51 14,775(5) D
Common Stock 03/02/2026 A 121 A $108.51 14,896(6) D
Common Stock 03/02/2026 F 2,309 D $100.65(7) 12,587(8) D
Common Stock 03/02/2026 F 1,398 D $100.65(7) 11,189(9) D
Common Stock 03/03/2026 A 2,041 A $107.57 13,230(10) 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 involves shares withheld for the payment of taxes related to the person's receipt of grants of restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan that vested on January 2, 2026, and not previously reported. The total reported in Column 5 includes 5,749 restricted stock units, and 4,223 shares of common stock.
2. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in February 2021. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 6,614 shares of common stock.
3. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in March 2022. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 6,947 shares of common stock.
4. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in May 2023. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 8,704 shares of common stock.
5. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in March 2024. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 9,026 shares of common stock.
6. Reports common stock issued upon settlement of performance restricted units granted to the reporting person in March 2025. The compensation committee of the Board of Directors determined that the performance criteria were met on March 2, 2026. The total reported in Column 5 includes 5,749 restricted stock units and 9,147 shares of common stock.
7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.53 to $102.04.
8. The reported transaction involves shares withheld for the payment of taxes related to the person's receipt of grants of restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 5,749 restricted stock units and 6,838 shares of common stock.
9. The reported transaction involves shares withheld for the payment of taxes related to the person's receipt of grants of restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 4,351 restricted stock units and 6,838 shares of common stock.
10. The reported transaction involved the person's receipt of a grant of 2,041 restricted stock units under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan. The total reported in Column 5 includes 6,392 restricted stock units and 6,838 shares of common stock.
/s/ Brian Wigginton 03/05/2026
** 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.

Source: View Original Filing on SEC EDGAR

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