Turning Point Brands, Inc. Form 4 Filings

Turning Point Brands, Inc. senior vice president of finance and chief accounting officer Brian Wigginton reported an open-market sale of 4,000 shares of common stock at a weighted average price of $91.67 per share on May 12, 2026.

After this sale, he holds a total of 9,230 shares, consisting of 4,627 restricted stock units and 4,603 shares of common stock. This filing reflects a single net sale with no derivative exercises reported.

Turning Point Brands director Lawrence Wexler reported a new stock award and his current equity holdings. He received a grant of 1,295 shares of common stock at $92.7100 per share, bringing his directly held common stock to 287,689 shares.

The total 287,689 figure includes 2,442 restricted stock units and 285,247 shares of common stock. Wexler also holds several option grants over common stock with exercise prices ranging from $14.8500 to $51.7500 and expiration dates between 2027 and 2031. These entries are compensation-related and do not reflect open‑market buying or selling.

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.

Usher Stephen reported acquisition or exercise transactions in this Form 4 filing.

Turning Point Brands director Stephen Usher received an equity grant rather than buying shares on the market. On May 11, 2026, he was awarded 1,295 restricted stock units under the company’s 2021 Equity Incentive Plan, valued at $92.71 per unit for reporting purposes.

After this grant, his reported equity stake totals 5,470 share-equivalents, consisting of 4,175 shares of common stock plus the newly awarded 1,295 restricted stock units, all held directly.

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.

Frushone Ashley Davis reported acquisition or exercise transactions in this Form 4 filing.

Turning Point Brands, Inc. director Ashley Davis received a grant of 1,295 restricted stock units. The award, reported at a reference price of $92.71 per share, was made under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan.

After this grant, Davis holds a total of 8,794 shares and units, consisting of the newly awarded 1,295 restricted stock units and 7,499 shares of common stock held directly.

Catsimatidis John A. Jr reported acquisition or exercise transactions in this Form 4 filing.

Turning Point Brands director John A. Catsimatidis Jr. reported an equity compensation grant and updated share holdings. He received a grant of 1,295 restricted stock units of common stock under Turning Point Brands, Inc.'s 2021 Equity Incentive Plan at a reference price of $92.71 per share. After this award, he holds 14,768 shares directly, including both common shares and the newly granted restricted stock units. Separately, an affiliated entity, United Refining, Inc., holds 400,000 shares of common stock, and this position is reported as indirectly owned. The filing notes that United Refining, Inc. is an indirect wholly owned subsidiary of Red Apple Group, Inc., and that Mr. Catsimatidis Jr., as President and Chief Operating Officer of Red Apple Group, Inc., may be deemed a beneficial owner of these shares, while he disclaims beneficial ownership except to the extent of his pecuniary interest.

Baxter Gregory H.A. reported acquisition or exercise transactions in this Form 4 filing.

Turning Point Brands director Baxter Gregory H.A. received an equity grant of 1,295 restricted stock units (RSUs) of common stock on May 11, 2026, valued at $92.71 per unit. After this award, his direct holdings total 40,214 shares and units, including 38,919 shares of common stock and the newly granted RSUs, reflecting routine compensation under the company’s 2021 Equity Incentive Plan rather than an open-market purchase.

Purdy Graham reported acquisition or exercise transactions in this Form 4 filing.

Turning Point Brands, Inc. President and CEO Graham Purdy reported an equity compensation grant and an existing financing arrangement tied to company stock. On March 24, 2026, he received 8,638 restricted stock units, valued at $86.83 per unit, under the 2021 Equity Incentive Plan. After this award, his direct holdings total 265,983 shares and units, including 27,094 restricted stock units and 238,889 shares of common stock.

A footnote explains a previously entered financing transaction from December 8, 2025, in which Purdy received approximately $12.3 million secured by a pledge of up to 140,140 shares of common stock. Beginning on the December 10, 2026 maturity date, he must either repay the lender in cash or may deliver up to 140,140 shares at a price between $91.50 and $104.45 per share, based on the prevailing market price. He retains beneficial ownership, including dividend and voting rights, over the pledged shares.

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.

Turning Point Brands, Inc. director and President & CEO Graham Purdy reported multiple equity award settlements and related tax share withholdings. On March 2, 2026, performance-based restricted units from 2021–2025 vested and were settled in common stock, with individual grants covering 5,181, 667, 44,494, 6,787 and 2,559 shares at reference prices around $108.51 per share. On March 3, 2026, he also received a grant of 4,535 restricted stock units under the 2021 Equity Incentive Plan.

To cover tax liabilities tied to these equity awards, Purdy disposed of 25,686 and 8,290 shares on March 2, 2026 through transactions coded as tax-withholding dispositions at a weighted average price of about $99.28 per share, rather than open-market selling. A disclosed forward financing entered on December 8, 2025 provided approximately $12.3 million, secured by a pledge of up to 140,140 shares of common stock, with potential share delivery between $91.50 and $104.45 per share starting on the December 10, 2026 maturity date; Purdy retains dividend and voting rights on the pledged shares.

Turning Point Brands, Inc. senior vice president and general counsel Brittani Cushman reported multiple equity awards and related tax-share withholdings. On March 3, 2026, she acquired 2,181 shares of common stock as a grant under the company’s 2021 Equity Incentive Plan. On March 2, 2026, she reported several acquisitions of common stock tied to the settlement of performance restricted units that were originally granted between 2021 and 2025, after the board’s compensation committee determined the performance criteria were met on that date. She also reported dispositions of 6,057 and 1,192 shares of common stock withheld to pay taxes on these equity awards. The filing further notes outstanding options with various vesting schedules and an indirect holding of 406.806 common shares by her spouse, for which beneficial ownership is disclaimed.

Turning Point Brands, Inc. Chief Financial Officer Andrew Flynn reported a mix of equity awards and share sales in company common stock. On March 2, 2026, he acquired several blocks of shares via settlement of performance-based restricted stock units and a new grant of 2,721 restricted stock units under the 2021 Equity Incentive Plan, after the compensation committee determined performance criteria were met.

Also on March 2, shares were withheld to cover tax obligations related to these awards, with dispositions of 962 and 1,124 shares as tax-withholding transactions. On March 4, 2026, Flynn completed an open-market sale of 2,000 shares of common stock at a weighted average price of $97.57 per share, from multiple trades between $97.37 and $97.85. After these transactions, he directly held 9,443 shares of common stock, alongside additional restricted stock units.

Turning Point Brands Executive Chairman David Edward Glazek reported several equity transactions involving company stock. On March 2, 2026, common stock was issued upon settlement of performance restricted units granted in May 2023, March 2024, and March 2025 after the compensation committee determined the performance criteria were met. Shares were also withheld that day to cover taxes related to these performance restricted stock units. On March 3, 2026, he received a grant of 4,535 restricted stock units under the 2021 Equity Incentive Plan, bringing the total reported in Column 5 to 40,491 restricted stock units and 124,048 shares of common stock, including 60,364 shares deferred into the Company Non-Qualified Deferred Plan. A previously disclosed financing was revised on December 19, 2025, under which he receives a gross amount of approximately $7.0 million and continues to pledge up to 78,000 shares in a forward contract maturing on December 19, 2027, with a price range of $105.33 to $126.39 per share and a completion price of $110.87.

Turning Point Brands director Lawrence Wexler reported several equity-related transactions in company stock. On March 2, 2026, he acquired 8,369 and 927 shares of common stock at $108.51 per share, reflecting settlement of performance restricted units granted in February 2021 and March 2022 after the compensation committee determined the performance criteria were met.

Also on March 2, 3,393 shares were disposed of at a weighted-average price of $100.14 to cover tax obligations by delivering shares rather than cash. Earlier, on December 26, 2025, Wexler made a bona fide gift of 2,800 shares to a donor advised fund. Following these transactions, he reported direct ownership of 286,394 shares of common stock and 2,205 restricted stock units.

Turning Point Brands, Inc. director files Form 4 for routine tax withholding. On January 2, 2026, a director reported a transaction in common stock coded "F," indicating 425 shares were withheld at $110.24 per share to cover taxes on restricted stock units that vested on that date. This was not an open-market buy or sell but a share withholding for tax purposes.

After this transaction, the director beneficially owned 283,291 shares, consisting of 281,086 shares of common stock and 2,205 restricted stock units. The filing also lists multiple option awards under the company’s 2015 Equity Incentive Plan, with exercise prices ranging from $14.85 to $51.75 and expiration dates between May 17, 2027 and February 18, 2031, all held in direct ownership.

Turning Point Brands, Inc. reported an insider equity transaction for its Sr VP and General Counsel, Brittani Cushman. On 01/02/2026, 193 shares of common stock were withheld at $110.24 per share to cover taxes on restricted stock units that vested on that date. After this tax-withholding transaction, she beneficially owned 34,081 shares of common stock directly, plus 406.806 shares held indirectly by her spouse.

The filing also lists several outstanding stock option awards granted under the company’s equity incentive plans. These options cover 8,000, 7,000, 3,000, 4,800 and 500 shares of common stock at exercise prices ranging from $14.85 to $51.75, with expiration dates between 03/07/2028 and 03/14/2032, reflecting previously granted long-term compensation.

Turning Point Brands president and CEO Graham Purdy reported an equity transaction involving company stock. On January 2, 2026, 368 shares of Turning Point Brands, Inc. common stock were withheld to cover taxes due on restricted stock units that vested the same day at a price of $110.24 per share. After this tax withholding, Purdy beneficially owns 227,098 shares, consisting of 33,186 restricted stock units and 193,912 shares of common stock.

The filing also notes that on December 8, 2025, Purdy 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 Turning Point Brands common stock. Beginning on the December 10, 2026 maturity date, he must either repay the lender in cash or may deliver up to 140,140 shares at a price per share between $91.50 and $104.45, while retaining dividend and voting rights on the pledged shares.

Turning Point Brands, Inc. insider activity centers on option exercises, share sales, and a revised share-backed financing. Executive Chairman and Director David Glazek exercised 30,000 stock options at $20.71 per share and sold 30,000 shares of common stock at $110.26 per share on 12/19/2025. After these transactions, he beneficially owns 127,083 common shares, including 35,956 restricted stock units and 91,127 shares of common stock. He also holds 54,289 options with a $27.19 exercise price and 47,519 options with a $20.71 exercise price.

The filing also reports a revised financing transaction involving a forward contract on up to 78,000 pledged shares of Turning Point Brands common stock. On December 19, 2025, Glazek replaced a prior contract with a new one that reflects the current stock price and extends its duration, receiving a gross amount of approximately $7.0 million. On the revised maturity date of December 19, 2027, he must either repay the lender in cash or deliver up to 78,000 shares at prices ranging from $105.33 to $126.39 per share, depending on the market price. He retains beneficial ownership of the pledged shares, including dividend and voting rights, and the revised financing was completed at a price of $110.87 per share.

Turning Point Brands director Charles H.C. Diao reported selling 2,000 shares of common stock on 12/15/2025. The sale, coded "S" for a sale transaction, was executed at a weighted average price of $108.2, with individual trade prices ranging from $107.98 to $108.25.

Following this transaction, Diao beneficially owns 9,804 shares of Turning Point Brands, all held directly. This total includes 1,058 shares of restricted stock and 8,972 shares of common stock, reflecting his remaining equity stake after the reported sale.

Turning Point Brands, Inc. (TPB) President and CEO Graham Purdy reported a financing transaction tied to his company stock. On December 8, 2025, he entered into a forward-style financing with an unaffiliated dealer to receive approximately $12.3 million, secured by a pledge of up to 140,140 shares of Turning Point Brands common stock. Beginning on the maturity date of December 10, 2026, he must either repay the lender in cash or, at his election, deliver up to 140,140 shares at a price per share ranging from $91.50 to $104.45, depending on the market price at that time. Until then, he retains beneficial ownership of the pledged shares, including dividend and voting rights.

Turning Point Brands, Inc. (TPB) director reported modest open-market sales of company stock. On 11/19/2025, the reporting person sold 1,000 shares of common stock at a price of $101 per share, and on 11/20/2025 sold another 1,000 shares at a price of $102.54 per share, both coded as open-market sales. After these transactions, the reporting person beneficially owned 4,175 shares of common stock and restricted stock units in total, as described in the footnotes.

Turning Point Brands (TPB) insider trading disclosure: Senior Vice President and General Counsel Brittani Cushman reported multiple stock option exercises and same-day sales on 11/19/2025.

She exercised several blocks of Turning Point Brands common stock options, including 3,000, 4,000, 3,250 and 2,500 shares at exercise prices of $14.85, $21.21, $15.41 and $13.00, respectively, under the company’s 2015 Equity Incentive Plan. The exercised shares were then sold in matching amounts at a sale price of $101.66 per share.

After these transactions, Cushman directly beneficially owns 34,687 shares of common stock. The filing notes that certain totals in the table include 9,434 restricted stock units and 32,753 shares of common stock, and also that 406.806 shares are held indirectly by her spouse, for which she disclaims beneficial ownership.

Turning Point Brands, Inc. (TPB) reported an insider transaction by director Gregory Baxter on a Form 4. On 11/21/2025, Baxter sold 1,500 shares of TPB common stock in an open-market transaction coded as an "S" sale. The weighted average sale price was $98.23 per share, with individual trades executed at prices ranging from $97.64 to $98.95.

After this sale, Baxter beneficially owned a total of 38,919 TPB shares, consisting of 37,681 shares of common stock and 1,058 restricted stock units. The filing indicates the securities are held directly by the reporting person and that the report was filed by one reporting person rather than a group.

Turning Point Brands (TPB) reported insider activity by a director, who sold common stock over three consecutive days. On 11/11/2025, the director sold 15,000 shares at a weighted average price of $99.89. On 11/12/2025, 21,069 shares were sold at a weighted average price of $100.02. On 11/13/2025, 10,401 shares were sold at a weighted average price of $99.03. The reported prices reflect multiple trades within disclosed ranges.

Following the transactions, beneficial ownership reported in Column 5 progressed to 315,186, then 290,765, and finally 280,368 shares, all held directly. The filing also lists outstanding stock options with various exercise prices and expirations under the company’s equity plan.