|
|
|
(State or other Jurisdiction of Incorporation)
|
(Commission File Number)
|
(IRS Employer Identification No.)
|
,
|
|
|
(Address of principal executive offices)
|
(Zip Code)
|
Title of each class
|
Trading Symbol(s)
|
Name of each exchange on which registered
|
||
|
|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
Item 5.07 |
Submission of Matters to a Vote of Security Holders.
|
(1) |
Election of Directors;
|
(2) |
Approval of the Turning Point Brands, Inc. 2021 Equity Incentive Plan; and
|
(3) |
Ratification of RSM US LLP as independent auditors for the year ending December 31, 2021.
|
(1)
|
Election of Directors:
|
Nominee
|
Votes For
|
Votes Withheld
|
Broker Non-
Votes
|
|||
Gregory H.A. Baxter
|
14,011,798
|
26,180
|
-
|
|||
H.C. Charles Diao
|
13,982,596
|
55,382
|
-
|
|||
Ashley D. Frushone
|
13,982,311
|
55,667
|
-
|
|||
David Glazek
|
13,868,215
|
169,763
|
-
|
|||
Assia Grazioli-Venier
|
14,011,518
|
26,460
|
-
|
|||
Stephen Usher
|
13,913,743
|
124,235
|
-
|
|||
Lawrence S. Wexler
|
14,029,649
|
8,329
|
-
|
|||
Arnold Zimmerman
|
13,984,725
|
53,253
|
-
|
(2)
|
Approval of the Turning Point Brands, Inc. 2021 Equity Incentive Plan
|
For
|
13,920,788
|
Against
|
106,429
|
Abstain
|
10,761
|
Broker Non-Votes
|
2,512,822
|
(3)
|
Ratification of RSM US LLP as independent auditors for the year ending December 31, 2021:
|
For
|
16,384,791
|
Against
|
156,614
|
Abstain
|
9,395
|
Broker Non-Votes
|
-
|
TURNING POINT BRANDS, INC.
|
||
Date: May 6, 2021
|
By:
|
/s/ Brittani Cushman
|
Name:
|
Brittani Cushman
|
|
Title:
|
Senior Vice President, General Counsel and Secretary
|