0001140361-14-012386.txt : 20140312 0001140361-14-012386.hdr.sgml : 20140312 20140312163050 ACCESSION NUMBER: 0001140361-14-012386 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140310 FILED AS OF DATE: 20140312 DATE AS OF CHANGE: 20140312 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pandolfino Joseph CENTRAL INDEX KEY: 0001508752 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36338 FILM NUMBER: 14687873 MAIL ADDRESS: STREET 1: 8201 MAIN STREET STREET 2: SUITE 6 CITY: WILLIAMSVILLE STATE: NY ZIP: 14221 4 1 doc1.xml FORM 4 X0306 4 2014-03-10 0 0001347858 22nd Century Group, Inc. XXII 0001508752 Pandolfino Joseph 9530 MAIN STREET CLARENCE NY 14031 1 1 1 0 Chief Executive Officer Common Stock 2014-03-10 4 M 0 112000 0.60 A 6109935 D Common Stock 2014-03-10 4 S 0 65000 6.04 D 6044935 D Common Stock 2014-03-12 4 S 0 30000 5.05 D 6014935 D Warrant to Purchase 0.6 2014-03-10 4 M 0 100000 0 D 2012-11-09 2017-11-09 Common Stock 140000 140000 D Warrant to Purchase 0.6 2014-03-10 4 M 0 12000 0 D 2012-05-15 2017-05-15 Common Stock 0 0 D Warrant to Purchase 1.1497 2012-02-08 2017-02-08 Common Stock 180047 180047 D Warrant to Purchase 2.2136 2011-01-25 2016-01-26 Common Stock 1903136 1903136 D Warrant to Purchase 1.2018 2011-01-25 2016-01-25 Common Stock 47088 47088 D 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. /s/ Joseph Pandolfino 2014-03-12