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Filing Details

Accession Number:
0001140361-11-031965
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-06-08 15:39:07
Reporting Period:
2011-04-01
Filing Date:
2011-06-08
Filing Date Changed:
2011-06-08
Accepted Time:
2011-06-08 16:39:07
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1347858 22Nd Century Group Inc. XXII.OB Cigarettes (2111) 980468420
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1508753 Iii Henry Sicignano 8201 Main Street, Suite 6
Williamsville NY 14221
President, Secretary Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-04-01 600,000 $0.00 822,603 No 4 A Direct
Common Stock Acquisiton 2011-04-04 1,500 $1.20 1,500 No 4 P Indirect As custodian for minor children
Common Stock Acquisiton 2011-04-11 5,000 $1.25 5,000 No 4 P Indirect IRA
Common Stock Acquisiton 2011-05-03 3,000 $1.25 4,500 No 4 P Indirect As custodian for minor children
Common Stock Acquisiton 2011-05-26 1,000 $1.15 5,500 No 4 P Indirect As custodian for minor children
Common Stock Acquisiton 2011-05-31 2,000 $1.22 7,500 No 4 P Indirect As custodian for minor children
Common Stock Acquisiton 2011-06-07 110,000 $1.03 932,603 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 P Indirect As custodian for minor children
No 4 P Indirect IRA
No 4 P Indirect As custodian for minor children
No 4 P Indirect As custodian for minor children
No 4 P Indirect As custodian for minor children
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,542,347 Indirect Manager
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Warrant $3.00 2011-01-25 2016-01-25 69,564 69,564 Direct
Common Stock Warrant $1.50 2011-01-25 2016-01-25 15,813 15,813 Indirect
Common Stock Warrant $3.00 2011-01-25 2016-01-25 784,600 784,600 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-01-25 69,564 69,564 Direct
2016-01-25 15,813 15,813 Indirect
2016-01-25 784,600 784,600 Indirect
Footnotes
  1. Restricted stock granted April 1, 2011 to the reporting person under the 22nd Century Group, Inc. 2010 Equity Incentive Plan. The restricted stock vests and becomes exercisable to the extent of 25% on each of the first four anniversaries of the date of grant. The reporting person has filed with the IRS an 83(b) election in connection with this grant. Does not include the contingent right of the reporting person to receive up to 100,000 additional performance shares under the issuer's 2010 Equity Incentive Plan based on the achievement of certain performance targets.
  2. The shares acquired are subject to a lock-up agreement and were sold pursuant to the permitted exceptions.
  3. Represents 2,542,347 shares of 22nd Century Group, Inc. which are owned directly by Henry Sicignano III Group, LLC, of which Mr. Sicignano is the Manager.
  4. Represents warrants to purchase 15,813 shares of Common Stock and 784,600 shares of Common Stock, respectively, of 22nd Century Group, Inc., which were issued to Henry Sicignano III Group, LLC, of which Mr. Sicignano is the Manager.