SEC Form 4 · accession 0001140361-16-048841
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Sicignano III
Officer — President and CEO · Director
Period of report
Jan 25, 2016
Accepted (ET)
Jan 27, 2016 · 4:38 pm 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 | Jan 25, 2016 | X | 9,025 | $1.2018 | A | 24,025 | I | Custodian for Minor Children |
| Common Stock | Jan 25, 2016 | F | 8,575 | $1.265 | D | 15,450 | I | Custodian for Minor Children |
| Common Stock | holding | — | — | — | 2,292,603 | D | ||
| Common Stock | holding | — | — | — | 20,000 | I | IRA | |
| Common StockF1 | holding | — | — | — | 2,542,347 | I | Manager |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase | $1.2018 | Jan 25, 2016 | X | 9,025 | D | Jan 25, 2011 | Jan 25, 2016 | Common Stock | 9,025 | 0 | I |
| Warrant to Purchase | $0.60 | holding | — | — | — | May 15, 2012 | May 15, 2017 | Common Stock | 20,000 | 20,000 | D |
| Warrant to PurchaseF1 | $0.60 | holding | — | — | — | Nov 9, 2012 | Nov 9, 2017 | Common Stock | 300,000 | 300,000 | D |
| Stock Option (right to buy) | $0.69 | holding | — | — | — | May 18, 2012 | May 18, 2022 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (right to buy) | $0.96 | holding | — | — | — | Feb 16, 2016 | Feb 16, 2025 | Common Stock | 350,000 | 350,000 | D |
Explanation of responses
- F1Shares are owned by Henry Sicignano III Group, LLC.