SEC Form 4 · accession 0001140361-15-010108
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Dunn
Director
Period of report
Mar 3, 2015
Accepted (ET)
Mar 4, 2015 · 7:52 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001347858
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 85,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF1 | $1.43 | Mar 3, 2015 | A | 100,000 | A | — | Mar 3, 2020 | Common Stock | 100,000 | 100,000 | D |
| Non-Qualified Stock Option | $0.80 | holding | — | — | — | Feb 25, 2013 | Feb 25, 2023 | Common Stock | 50,000 | 50,000 | D |
| Non-Qualified Stock Option | $0.69 | holding | — | — | — | May 18, 2012 | May 18, 2022 | Common Stock | 60,000 | 60,000 | D |
| Warrant to PurchaseF2 | $0.60 | holding | — | — | — | Nov 9, 2012 | Nov 9, 2017 | Common Stock | 31,500 | 31,500 | D |
Explanation of responses
- F1Non-Qualified Stock Options granted pursuant to the Issuer's 2014 Omnibus Incentive Plan, which vest 100% on March 3, 2016.
- F2The exercise price and/or number of shares underlying this security are subject to adjustment as set forth in the applicable warrant.