0001140361-18-031152.txt : 20180703 0001140361-18-031152.hdr.sgml : 20180703 20180703121854 ACCESSION NUMBER: 0001140361-18-031152 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180629 FILED AS OF DATE: 20180703 DATE AS OF CHANGE: 20180703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAMES THOMAS L. CENTRAL INDEX KEY: 0001608342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36338 FILM NUMBER: 18935464 MAIL ADDRESS: STREET 1: C/O 22ND CENTURY GROUP, INC. STREET 2: 9530 MAIN STREET CITY: CLARENCE STATE: NY ZIP: 14031 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: 22nd Century Group, Inc. CENTRAL INDEX KEY: 0001347858 STANDARD INDUSTRIAL CLASSIFICATION: CIGARETTES [2111] IRS NUMBER: 980468420 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9530 MAIN STREET CITY: CLARENCE, STATE: NY ZIP: 14031 BUSINESS PHONE: (716) 270-1523 MAIL ADDRESS: STREET 1: 9530 MAIN STREET CITY: CLARENCE, STATE: NY ZIP: 14031 FORMER COMPANY: FORMER CONFORMED NAME: Touchstone Mining LTD DATE OF NAME CHANGE: 20051222 4 1 doc1.xml FORM 4 X0306 4 2018-06-29 0 0001347858 22nd Century Group, Inc. XXII 0001608342 JAMES THOMAS L. C/O 22ND CENTURY GROUP, INC. 8560 MAIN STREET WILLIAMSVILLE NY 14221 0 1 0 0 VP, General Counsel & Sec'y. Common Stock 2018-06-29 4 S 0 50000 2.4385 D 50000 D Stock Option (Right to Buy) 2.76 2028-03-06 Common Stock 117146 117146 D Stock Option Grant (Right to Buy) 1.39 2027-05-24 Common Stock 124000 124000 D Stock Option Grant .95 2026-03-04 Common Stock 136170 136170 D Options to Purchase Common Stock 2.61 2017-05-01 2024-05-27 Common Stock 300000 300000 D Stock Option (right to buy) .96 2016-02-16 2025-02-16 Common Stock 197.568 197568 D Stock option grant which vests one-third on each of March 6, 2019, March 6, 2020 and March 6, 2021. Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020. Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.42 to $2.49, inclusive. The Reporting Person undertakes to provide 22nd Century Group, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. /s/ John J. Wolfel, Attorney-in-Fact for Thomas L. James 2018-07-03