0001140361-17-041623.txt : 20171108 0001140361-17-041623.hdr.sgml : 20171108 20171108172047 ACCESSION NUMBER: 0001140361-17-041623 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171031 FILED AS OF DATE: 20171108 DATE AS OF CHANGE: 20171108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Swauger James E. CENTRAL INDEX KEY: 0001722086 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36338 FILM NUMBER: 171187558 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 2017-10-31 0 0001347858 22nd Century Group, Inc. XXII 0001722086 Swauger James E. C/O 22ND CENTURY GROUP, INC. 9530 MAIN STREET CLARENCE NY 14031 0 1 0 0 Senior VP-Science & Regulatory Stock Option (Right to Buy) 2.12 2017-10-31 4 A 0 900000 0 A 2027-10-31 Common Stock 900000 900000 D Stock Option (Right to Buy) 2.12 2017-10-31 4 A 0 300000 0 A 2027-10-31 Common Stock 300000 300000 D Vests one-third on each of November 1, 2018, November 1, 2019 and November 1, 2020. Vests upon the satisfaction of certain performance conditions. /s/ John J. Wolfel, Attorney-in-Fact for James E. Swauger, Ph.D. 2017-11-08