Filing Details
- Accession Number:
- 0001140361-11-031965
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-08 16:39:07
- Reporting Period:
- 2011-04-01
- Filing Date:
- 2011-06-08
- Accepted Time:
- 2011-06-08 16:39:07
- 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 |
---|---|---|---|---|---|---|---|
1508753 | Iii Henry Sicignano | 8201 Main Street, Suite 6 Williamsville NY 14221 | President, Secretary | Yes | 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 | Acquisiton | 2011-04-01 | 600,000 | $0.00 | 822,603 | No | 4 | A | Direct | |
Common Stock | Acquisiton | 2011-04-04 | 1,500 | $1.20 | 1,500 | No | 4 | P | Indirect | As custodian for minor children |
Common Stock | Acquisiton | 2011-04-11 | 5,000 | $1.25 | 5,000 | No | 4 | P | Indirect | IRA |
Common Stock | Acquisiton | 2011-05-03 | 3,000 | $1.25 | 4,500 | No | 4 | P | Indirect | As custodian for minor children |
Common Stock | Acquisiton | 2011-05-26 | 1,000 | $1.15 | 5,500 | No | 4 | P | Indirect | As custodian for minor children |
Common Stock | Acquisiton | 2011-05-31 | 2,000 | $1.22 | 7,500 | No | 4 | P | Indirect | As custodian for minor children |
Common Stock | Acquisiton | 2011-06-07 | 110,000 | $1.03 | 932,603 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | Direct | |
No | 4 | P | Indirect | As custodian for minor children |
No | 4 | P | Indirect | IRA |
No | 4 | P | Indirect | As custodian for minor children |
No | 4 | P | Indirect | As custodian for minor children |
No | 4 | P | Indirect | As custodian for minor children |
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 2,542,347 | Indirect | Manager |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Warrant | $3.00 | 2011-01-25 | 2016-01-25 | 69,564 | 69,564 | Direct |
Common Stock | Warrant | $1.50 | 2011-01-25 | 2016-01-25 | 15,813 | 15,813 | Indirect |
Common Stock | Warrant | $3.00 | 2011-01-25 | 2016-01-25 | 784,600 | 784,600 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2016-01-25 | 69,564 | 69,564 | Direct |
2016-01-25 | 15,813 | 15,813 | Indirect |
2016-01-25 | 784,600 | 784,600 | Indirect |
Footnotes
- Restricted stock granted April 1, 2011 to the reporting person under the 22nd Century Group, Inc. 2010 Equity Incentive Plan. The restricted stock vests and becomes exercisable to the extent of 25% on each of the first four anniversaries of the date of grant. The reporting person has filed with the IRS an 83(b) election in connection with this grant. Does not include the contingent right of the reporting person to receive up to 100,000 additional performance shares under the issuer's 2010 Equity Incentive Plan based on the achievement of certain performance targets.
- The shares acquired are subject to a lock-up agreement and were sold pursuant to the permitted exceptions.
- Represents 2,542,347 shares of 22nd Century Group, Inc. which are owned directly by Henry Sicignano III Group, LLC, of which Mr. Sicignano is the Manager.
- Represents warrants to purchase 15,813 shares of Common Stock and 784,600 shares of Common Stock, respectively, of 22nd Century Group, Inc., which were issued to Henry Sicignano III Group, LLC, of which Mr. Sicignano is the Manager.