Filing Details

Accession Number:
0001140361-18-031152
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-07-03 12:18:54
Reporting Period:
2018-06-29
Accepted Time:
2018-07-03 12:18:54
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1347858 22Nd Century Group Inc. XXII Cigarettes (2111) 980468420
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1608342 L. Thomas James C/O 22Nd Century Group, Inc.
8560 Main Street
Williamsville NY 14221
Vp, General Counsel & Sec'y. No 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 Disposition 2018-06-29 50,000 $2.44 50,000 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $2.76 2028-03-06 117,146 117,146 Direct
Common Stock Stock Option Grant (Right to Buy) $1.39 2027-05-24 124,000 124,000 Direct
Common Stock Stock Option Grant $0.95 2026-03-04 136,170 136,170 Direct
Common Stock Options to Purchase Common Stock $2.61 2017-05-01 2024-05-27 300,000 300,000 Direct
Common Stock Stock Option (right to buy) $0.96 2016-02-16 2025-02-16 198 197,568 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2028-03-06 117,146 117,146 Direct
2027-05-24 124,000 124,000 Direct
2026-03-04 136,170 136,170 Direct
2024-05-27 300,000 300,000 Direct
2025-02-16 198 197,568 Direct
Footnotes
  1. Stock option grant which vests one-third on each of March 6, 2019, March 6, 2020 and March 6, 2021.
  2. Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020.
  3. Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019.
  4. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.42 to $2.49, inclusive. The Reporting Person undertakes to provide 22nd Century Group, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.