SEC Form 4 · accession 0001140361-18-016790
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 6, 2018
Accepted (ET)
Apr 3, 2018 · 5:05 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 | — | — | — | 2,509,422 | D | ||
| Common Stock | holding | — | — | — | 20,000 | I | Custodian for Minor Child | |
| Common Stock | holding | — | — | — | 20,000 | I | IRA | |
| Common StockF1 | holding | — | — | — | 2,542,347 | I | Manager |
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)F2 | $2.76 | Mar 6, 2018 | A | 279,553 | A | — | Mar 6, 2028 | Common Stock | 279,553 | 279,553 | 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 |
| Stock Option (Right to Buy)F4 | $0.95 | holding | — | — | — | — | Mar 4, 2026 | Common Stock | 425,532 | 425,532 | D |
| Sock Option (Right to Buy)F3 | $1.39 | holding | — | — | — | — | May 24, 2027 | Common Stock | 333,000 | 333,000 | D |
Explanation of responses
- F1Shares are owned by Henry Sicignano III Group, LLC.
- F2Stock option grant which vests one-third on March 6, 2019, March 6, 2020 and March 6, 2021.
- F3Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020.
- F4Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019.