SEC Form 4 · accession 0001140361-17-014209
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Robert Moynihan
Officer — Vice President of R&D
Period of report
Mar 31, 2017
Accepted (ET)
Mar 31, 2017 · 4:57 pm EDT
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 | Mar 31, 2017 | X | 150,000 | $0.60 | A | 1,038,934 | D | |
| Common Stock | Mar 31, 2017 | F | 71,714 | $1.255 | D | 967,220 | D |
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 | $0.60 | Mar 31, 2017 | X | 150,000 | D | May 15, 2012 | May 15, 2017 | Common Stock | 150,000 | 0 | D |
| Stock Option | $0.82 | holding | — | — | — | Apr 29, 2016 | Apr 29, 2026 | Common Stock | 90,000 | 90,000 | D |
| Stock Option | $0.69 | holding | — | — | — | May 18, 2012 | May 18, 2022 | Common Stock | 100,000 | 100,000 | D |
| Stock Option | $0.80 | holding | — | — | — | Feb 25, 2013 | Feb 25, 2023 | Common Stock | 75,000 | 75,000 | D |
| Stock Option | $0.96 | holding | — | — | — | Feb 16, 2016 | Feb 16, 2025 | Common Stock | 194,529 | 194,529 | D |
Explanation of responses
- F1Mr. Moynihan exercised warrants via a cashless exercise prior to the Issuer's blackout period commencing April 1, 2017, in advance of the May 15, 2017 expiration date of the warrants.