SEC Form 4 · accession 0001140361-18-016787
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas L. James
Officer — VP, General Counsel & Sec'y.
Period of report
Mar 6, 2018
Accepted (ET)
Apr 3, 2018 · 5:03 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 | — | — | — | 100,000 | 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 | $2.76 | Mar 6, 2018 | A | 117,146 | A | — | Mar 6, 2028 | Common Stock | 117,146 | 117,146 | D |
| Stock Option Grant (Right to Buy)F2 | $1.39 | holding | — | — | — | — | May 24, 2027 | Common Stock | 124,000 | 124,000 | D |
| Stock Option GrantF3 | $0.95 | holding | — | — | — | — | Mar 4, 2026 | Common Stock | 136,170 | 136,170 | D |
| Options to Purchase Common Stock | $2.61 | holding | — | — | — | May 1, 2017 | May 27, 2024 | Common Stock | 300,000 | 300,000 | D |
| Stock Option (right to buy) | $0.96 | holding | — | — | — | Feb 16, 2016 | Feb 16, 2025 | Common Stock | 198 | 197,568 | D |
Explanation of responses
- F1Stock option grant which vests one-third on each of March 6, 2019, March 6, 2020 and March 6, 2021.
- F2Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020.
- F3Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019.