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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 2.76 | (1) | 03/06/2028 | Common Stock | 117,146 | 117,146 | D | ||||||||
Stock Option Grant (Right to Buy) | $ 1.39 | (2) | 05/24/2027 | Common Stock | 124,000 | 124,000 | D | ||||||||
Stock Option Grant | $ 0.95 | (3) | 03/04/2026 | Common Stock | 136,170 | 136,170 | D | ||||||||
Options to Purchase Common Stock | $ 2.61 | 05/01/2017 | 05/27/2024 | Common Stock | 300,000 | 300,000 | D | ||||||||
Stock Option (right to buy) | $ 0.96 | 02/16/2016 | 02/16/2025 | Common Stock | 197.568 | 197,568 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JAMES THOMAS L. C/O 22ND CENTURY GROUP, INC. 8560 MAIN STREET, SUITE 4 WILLIMASVILLE, NY 14221 |
VP, General Counsel & Sec'y. |
/s/ John J. Wolfel, Attorney-in-Fact for Thomas L. James | 03/04/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Stock option grant which vests one-third on each of March 6, 2019, March 6, 2020 and March 6, 2021. |
(2) | Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020. |
(3) | Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019. |
(4) | Restricted stock units vest one-third on February 28, 2020, February 28, 2021, and February 28, 2022 and are subject to continued service by the Reporting Person with the Company. |