Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 22nd Century Group, Inc.XXII · Entity 8519 | VP, General Counsel & Sec'y. | June 17, 2019 | June 19, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
22nd Century Group, Inc.
Report date June 17, 2019 · Filed June 19, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 80,000 |
Reported balance
After 2019-06-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-06-17 · Sale · Disposed 48,000 · Balance 80,000 F1: Includes 78,000 restricted stock units that 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.76 · Expires 2028-03-06 | Direct | 117,146 |
Reported balance
Holding disclosure · report date 2019-06-17 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 117,146 F2: Stock option grant which vests one-third on each of March 6, 2019, March 6, 2020 and March 6, 2021. |
| Stock Option Grant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.39 · Expires 2027-05-24 | Direct | 124,000 |
Reported balance
Holding disclosure · report date 2019-06-17 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 124,000 F3: Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020. |
| Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.95 · Expires 2026-03-04 | Direct | 136,170 |
Reported balance
Holding disclosure · report date 2019-06-17 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 136,170 F4: Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019. |
| Options to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.61 · Expires 2024-05-27 | Direct | 300,000 |
Reported balance
Holding disclosure · report date 2019-06-17 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 300,000 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.96 · Expires 2025-02-16 | Direct | 197,568 |
Reported balance
Holding disclosure · report date 2019-06-17 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 197,568 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 78,000 restricted stock units that 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.
F2: Stock option grant which vests one-third on each of March 6, 2019, March 6, 2020 and March 6, 2021.
F3: Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020.
F4: Stock option grant which vests one-third on each of March 4, 2017, March 4, 2018 and March 4, 2019.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 17, 2019 Filed Jun 19, 2019 20:47 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | SaleCommon Stock | 48,000 | $2.11 | $101,198.40 |
DisclosureSEC source: 0001567619-19-013691 · doc1.xml · nonDerivative · entry 1 JAMES THOMAS L. · CIK 0001608342 · VP, General Counsel & Sec'y. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 F1 · balance_after: Includes 78,000 restricted stock units that 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. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 21:39 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | GrantCommon Stock | 78,000 | $2.41 | $187,980.00 |
DisclosureSEC source: 0001567619-19-006022 · doc1.xml · nonDerivative · entry 1 JAMES THOMAS L. · CIK 0001608342 · VP, General Counsel & Sec'y. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,000 F4 · shares: 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. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 16:18 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | SaleCommon Stock | 50,000 | $2.44 | $121,925.00 |
DisclosureSEC source: 0001140361-18-031152 · doc1.xml · nonDerivative · entry 1 JAMES THOMAS L. · CIK 0001608342 · VP, General Counsel & Sec'y. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F4 · price: 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. Read SEC document |
| March 06, 2018 Filed Apr 3, 2018 21:03 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | GrantStock Option (Right to Buy) · Derivative | 117,146 | $2.76 Strike: $2.76 | $323,322.96 |
DisclosureSEC source: 0001140361-18-016787 · doc1.xml · derivative · entry 2 JAMES THOMAS L. · CIK 0001608342 · VP, General Counsel & Sec'y. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,146 Underlying: Common Stock · 117,146 shares Expires 2028-03-06 F1 · derivative.exercise_date: Stock option grant which vests one-third on each of March 6, 2019, March 6, 2020 and March 6, 2021. Read SEC document |
| May 24, 2017 Filed May 26, 2017 20:24 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | GrantStock Option Grant (Right to Buy) · Derivative | 124,000 | $1.39 Strike: $1.39 | $172,360.00 |
DisclosureSEC source: 0001140361-17-022552 · doc1.xml · derivative · entry 2 JAMES THOMAS L. · CIK 0001608342 · VP, General Counsel & Sec'y. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,000 Underlying: Common Stock · 124,000 shares Expires 2027-05-24 F1 · derivative.exercise_date: Stock option grant which vests one-third on each of April 1, 2018, April 1, 2019 and April 1, 2020. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.