Filing Details
- Accession Number:
- 0001140361-14-012386
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-12 16:30:50
- Reporting Period:
- 2014-03-10
- Filing Date:
- 2014-03-12
- Accepted Time:
- 2014-03-12 16:30:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1347858 | 22Nd Century Group Inc. | XXII | Cigarettes (2111) | 980468420 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1508752 | Joseph Pandolfino | 9530 Main Street Clarence NY 14031 | Chief Executive Officer | Yes | Yes | Yes | 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 | Acquisiton | 2014-03-10 | 112,000 | $0.60 | 6,109,935 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-10 | 65,000 | $6.04 | 6,044,935 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-03-12 | 30,000 | $5.05 | 6,014,935 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase | Disposition | 2014-03-10 | 100,000 | $0.00 | 140,000 | $0.60 |
| Common Stock | Warrant to Purchase | Disposition | 2014-03-10 | 12,000 | $0.00 | 0 | $0.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 140,000 | 2012-11-09 | 2017-11-09 | No | 4 | M | Direct |
| 0 | 2012-05-15 | 2017-05-15 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase | $1.15 | 2012-02-08 | 2017-02-08 | 180,047 | 180,047 | Direct |
| Common Stock | Warrant to Purchase | $2.21 | 2011-01-25 | 2016-01-26 | 1,903,136 | 1,903,136 | Direct |
| Common Stock | Warrant to Purchase | $1.20 | 2011-01-25 | 2016-01-25 | 47,088 | 47,088 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-02-08 | 180,047 | 180,047 | Direct |
| 2016-01-26 | 1,903,136 | 1,903,136 | Direct |
| 2016-01-25 | 47,088 | 47,088 | Direct |
Footnotes
- The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $5.80 to $6.24, inclusive. The reporting person undertakes to provide to 22nd Century Group, Inc., any security holder of 22nd Century Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $4.89 to $5.24, inclusive. The reporting person undertakes to provide to 22nd Century Group, Inc., any security holder of 22nd Century Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- 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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