SEC Form 4 · accession 0001477932-16-008278
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Pandolfino
10% Owner
Period of report
Jan 22, 2016
Accepted (ET)
Jan 25, 2016 · 7:23 pm EST
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 StockF1 | Jan 22, 2016 | M | 169 | $0.00 | A | 5,580,793 | D | |
| Common StockF1 | Jan 25, 2016 | M | 1,104 | $0.00 | A | 5,581,897 | 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 | holding | — | — | — | Nov 9, 2012 | Nov 9, 2017 | Common Stock | 140,000 | 140,000 | D |
| Warrant to Purchase | $1.1984 | holding | — | — | — | Feb 8, 2012 | Feb 8, 2017 | Common Stock | 172,730 | 172,730 | D |
| Non-Qualified Stock Option | $1.43 | holding | — | — | — | Mar 3, 2016 | Mar 3, 2020 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Shares of common stock acquired from the cashless exercise of warrant