SEC Form 4 · accession 0001140361-18-016788
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard M. Sanders
Director
Period of report
Mar 6, 2018
Accepted (ET)
Apr 3, 2018 · 5:04 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 | — | — | — | 55,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF1 | $2.76 | Mar 6, 2018 | A | 51,724 | A | — | Mar 6, 2023 | Common Stock | 51,724 | 51,724 | D |
| Non-Qualified Stock OptionF2 | $1.39 | holding | — | — | — | — | May 24, 2022 | Common Stock | 100,000 | 100,000 | D |
| Non-Qualified Stock Option | $0.95 | holding | — | — | — | Mar 4, 2017 | Mar 4, 2021 | Common Stock | 138,376 | 138,376 | D |
| Non-Qualified Stock Option | $1.43 | holding | — | — | — | Mar 3, 2016 | Mar 3, 2020 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Non-Qualified Stock Options which vest 100% on March 6, 2019.
- F2Non-Qualified Stock Options which vest 100% on April 1, 2018.