SEC Form 4 · accession 0001567619-19-006027
22nd Century Group, Inc. · XXII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Dunn
Director
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 4:45 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 StockF3 | Feb 28, 2019 | A | 42,000 | $2.41 | A | 149,947 | 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 | holding | — | — | — | — | 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 | $0.69 | holding | — | — | — | May 18, 2012 | May 18, 2022 | Common Stock | 60,000 | 60,000 | D |
| Non-Qualified Stock Option | $1.43 | holding | — | — | — | Mar 3, 2016 | Mar 3, 2020 | Common Stock | 100,000 | 100,000 | D |
| Non-Qualified Stock Option | $0.80 | holding | — | — | — | Feb 25, 2013 | Feb 25, 2023 | Common Stock | 50,000 | 50,000 | 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.
- F3Restricted stock units vest 100% on February 28, 2020, and are subject to continued service by the Reporting Person with the Company.