Filing Details
- Accession Number:
- 0001140361-13-032871
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-14 13:00:00
- Reporting Period:
- 2013-08-13
- Filing Date:
- 2013-08-14
- Accepted Time:
- 2013-08-14 17:38:23
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1347858 | 22Nd Century Group Inc. | XXII.OB | Cigarettes (2111) | 980468420 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1508751 | Robert Michael Moynihan | 9530 Main Street Clarence NY 14031 | Vice President Of R&D | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2013-08-13 | 5,000 | $1.04 | 1,003,934 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-13 | 4,315 | $1.06 | 999,619 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-14 | 2,000 | $1.06 | 997,619 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-14 | 3,685 | $1.07 | 993,934 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase | $2.49 | 2011-01-25 | 2016-01-25 | 288,022 | 288,022 | Direct |
| Common Stock | Warrant to Purchase | $1.30 | 2011-01-25 | 2016-01-25 | 5,722 | 5,722 | Direct |
| Common Stock | Warrant to Purchase | $0.60 | 2012-05-15 | 2017-05-15 | 150,000 | 150,000 | Direct |
| Common Stock | Stock Option (right to purchase) | $0.69 | 2012-05-18 | 2022-05-18 | 100,000 | 100,000 | Direct |
| Common Stock | Stock Option (right to purchase) | $0.80 | 2013-02-25 | 2023-02-25 | 75,000 | 75,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-01-25 | 288,022 | 288,022 | Direct |
| 2016-01-25 | 5,722 | 5,722 | Direct |
| 2017-05-15 | 150,000 | 150,000 | Direct |
| 2022-05-18 | 100,000 | 100,000 | Direct |
| 2023-02-25 | 75,000 | 75,000 | Direct |
Footnotes
- The exercise price and/or number of shares underlying this security are subject to adjustment as set forth in the applicable warrant agreement.
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