SEC Form 4 · accession 0001140361-17-022551
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John T Brodfuehrer
Officer — CFO & Treasurer
Period of report
May 24, 2017
Accepted (ET)
May 26, 2017 · 4:23 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 | holding | — | — | — | 262,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $1.39 | May 24, 2017 | A | 124,000 | A | — | May 24, 2027 | Common Stock | 124,000 | 124,000 | D |
| Stock Option (Right to Buy)F2 | $0.95 | holding | — | — | — | — | Mar 4, 2026 | Common Stock | 202,128 | 202,128 | D |
| Stock Option (Right to Buy) | $0.96 | holding | — | — | — | Feb 16, 2016 | Feb 16, 2025 | Common Stock | 194,529 | 194,529 | D |
Explanation of responses
- F1Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020.
- F2Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019.