SEC Form 4 · accession 0001140361-16-056963
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
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 2:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001347858
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option GrantF2 | $0.95 | Mar 4, 2016 | A | 425,532 | A | — | Mar 4, 2026 | Common Stock | 425,532 | 425,532 | D |
| 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.
- F2Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019.