XXII

22nd Century Group, Inc. XXII

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Tony Moore United States Citizen 0 3140452 0 3140452 3140452 9.9 % 14/11/2024
Anson Funds Management LP Texas 0 3140452 0 3140452 3140452 9.9 % 14/11/2024
Amin Nathoo Canadian Citizen 0 3140452 0 3140452 3140452 9.9 % 14/11/2024
Anson Advisors Inc. Ontario, Canada 0 3140452 0 3140452 3140452 9.9 % 14/11/2024
Anson Management GP LLC Texas 0 3140452 0 3140452 3140452 9.9 % 14/11/2024
Moez Kassam Canadian Citizen 0 3140452 0 3140452 3140452 9.9 % 14/11/2024
Kimberly Page 2. Check the Appropriate Box if a Member of a Group United States of America 0 1166666 0 1166666 1166666 7.29 % 23/10/2024
Richard Abbe United States of America 2166667 1166666 2166667 1166666 3333333 9.99 % 23/10/2024
Iroquois Capital Management L.L.C. Delaware 0 1166666 0 1166666 1166666 7.29 % 23/10/2024
Amin Nathoo Canadian Citizen 0 3178491 0 3178491 3178491 7.3 % 14/02/2024
Tony Moore United States Citizen 0 3178491 0 3178491 3178491 7.3 % 14/02/2024
Anson Funds Management LP Texas 0 3178491 0 3178491 3178491 7.3 % 14/02/2024
Anson Management GP LLC Texas 0 3178491 0 3178491 3178491 7.3 % 14/02/2024
Moez Kassam Canadian Citizen 0 3178491 0 3178491 3178491 7.3 % 14/02/2024
Anson Advisors Inc. Ontario, Canada 0 3178491 0 3178491 3178491 7.3 % 14/02/2024
BlackRock, Inc. Delaware 9738782 0 9782463 0 9782463 4.6 % 09/08/2022
ETF Managers Group LLC Delaware 7526467 7526467 7526467 4.57 % 13/05/2022
ETF Managers Group LLC Delaware 7526467 7526467 7526467 4.57 % 13/05/2022
Martin D. Hoe United States 0 0 0 0 0 0 % 13/01/2022
Ryan M. Lane United States 0 0 0 0 0 0 % 13/01/2022
Martin D. Hoe United States 0 0 0 0 0 0 % 13/01/2022
Empery Asset Management, LP Delaware 0 0 0 0 0 0 % 13/01/2022
Ryan M. Lane United States 0 0 0 0 0 0 % 13/01/2022
Empery Asset Management, LP Delaware 0 0 0 0 0 0 % 13/01/2022
ETF Managers Group LLC Delaware 10272934 10272934 10272934 6.31 % 22/12/2021
ETF Managers Group LLC Delaware 10272934 10272934 10272934 6.31 % 22/12/2021
22nd Century Group, Inc. Nevada 0 91016026 0 91016026 91016026 15.2 % 09/07/2021
Empery Asset Management, LP Delaware 0 10126894 0 10126894 10126894 6.23 % 10/06/2021
Ryan M. Lane United States 0 10126894 0 10126894 10126894 6.23 % 10/06/2021
Martin D. Hoe United States 0 10126894 0 10126894 10126894 6.23 % 10/06/2021
Empery Asset Management, LP Delaware 0 10126894 0 10126894 10126894 6.23 % 10/06/2021
Ryan M. Lane United States 0 10126894 0 10126894 10126894 6.23 % 10/06/2021
Martin D. Hoe United States 0 10126894 0 10126894 10126894 6.23 % 10/06/2021
ETF Managers Group LLC Delaware 11912094 11912094 11912094 7.81 % 01/06/2021
ETF Managers Group LLC Delaware 11912094 11912094 11912094 7.81 % 01/06/2021
ETF Managers Group LLC Delaware 16524973 16524973 16524973 10.84 % 28/05/2021
ETF Managers Group LLC Delaware 16524973 16524973 16524973 10.84 % 28/05/2021
ETF Managers Group LLC Delaware 12342984 12342984 12342984 8.89 % 18/02/2021
ETF Managers Group LLC Delaware 12342984 12342984 12342984 8.89 % 18/02/2021
ETF Managers Group LLC Delaware 9900576 9900576 9900576 7.13 % 12/02/2021
ETF Managers Group LLC Delaware 9900576 9900576 9900576 7.13 % 12/02/2021
ETF Managers Group LLC Delaware 7374237 7374237 7374237 5.31 % 08/01/2021
ETF Managers Group LLC Delaware 7374237 7374237 7374237 5.31 % 08/01/2021
ETF Managers Group LLC Delaware 5848882 5848882 5848882 4.21 % 16/11/2020
ETF Managers Group LLC Delaware 5848882 5848882 5848882 4.21 % 16/11/2020
ETF Managers Group LLC Delaware 11549479 11549479 11549479 8.32 % 14/10/2020
ETF Managers Group LLC Delaware 11549479 11549479 11549479 8.32 % 14/10/2020
ETF Managers Group LLC Delaware 13732864 13732864 13732864 9.89 % 06/08/2020
ETF Managers Group LLC Delaware 13732864 13732864 13732864 9.89 % 06/08/2020
BlackRock, Inc. Delaware 2250801 0 2250801 0 2250801 1.6 % 10/07/2020
ETF Managers Group LLC Delaware 13993368 13993368 13993368 10.08 % 11/06/2020
ETF Managers Group LLC Delaware 13993368 13993368 13993368 10.08 % 11/06/2020
ETF Managers Group LLC Delaware 13691126 13691126 13691126 9.86 % 12/03/2020
ETF Managers Group LLC Delaware 13691126 13691126 13691126 9.86 % 12/03/2020
ETF Managers Group LLC Delaware 14028533 14028533 14028533 11.15 % 26/02/2020
ETF Managers Group LLC Delaware 14028533 14028533 14028533 11.15 % 26/02/2020
BlackRock, Inc. Delaware 8119828 0 8262791 0 8262791 6.6 % 05/02/2020
Martin D. Hoe United States 0 5801118 0 5801118 5801118 4.99 % 28/01/2020
Martin D. Hoe United States 0 5801118 0 5801118 5801118 4.99 % 28/01/2020
Ryan M. Lane United States 0 5801118 0 5801118 5801118 4.99 % 28/01/2020
Empery Asset Management, LP Delaware 0 5801118 0 5801118 5801118 4.99 % 28/01/2020
Ryan M. Lane United States 0 5801118 0 5801118 5801118 4.99 % 28/01/2020
Empery Asset Management, LP Delaware 0 5801118 0 5801118 5801118 4.99 % 28/01/2020
Martin D. Hoe United States 0 6600000 0 6600000 6600000 7.69 % 27/11/2019
Empery Asset Management, LP Delaware 0 6600000 0 6600000 6600000 7.69 % 27/11/2019
Empery Asset Management, LP Delaware 0 6600000 0 6600000 6600000 7.69 % 27/11/2019
Martin D. Hoe United States 0 6600000 0 6600000 6600000 7.69 % 27/11/2019
Ryan M. Lane United States 0 6600000 0 6600000 6600000 7.69 % 27/11/2019
Ryan M. Lane United States 0 6600000 0 6600000 6600000 7.69 % 27/11/2019
ETF Managers Group LLC Delaware 10526624 10526624 10526624 8.45 % 18/04/2019
ETF Managers Group LLC Delaware 10526624 10526624 10526624 8.45 % 18/04/2019
BlackRock, Inc. Delaware 7891859 0 8076751 0 8076751 6.5 % 19/03/2019
ETF Managers Group LLC Delaware 8724709 8724709 8724709 7.01 % 26/02/2019
ETF Managers Group LLC Delaware 8724709 8724709 8724709 7.01 % 26/02/2019
ETF Managers Group LLC Delaware 6351129 6351129 6351129 5.11 % 14/02/2019
ETF Managers Group LLC Delaware 6351129 6351129 6351129 5.11 % 14/02/2019
Acuitas Financial Group, LLC California 0 4132807 0 4132807 4132807 3.35 % 14/02/2018
Crede Capital Group, LLC Delaware 0 4132807 0 4132807 4132807 3.35 % 14/02/2018
Terren S. Peizer United States of America 0 4132807 0 4132807 4132807 3.35 % 14/02/2018
Crede CG III, Ltd. Bermuda 0 4132807 0 4132807 4132807 3.35 % 14/02/2018
Heights Capital Management, Inc. 0 0 % 09/02/2018
Heights Capital Management, Inc. 0 0 % 09/02/2018
CVI Investments, Inc. 0 0 % 09/02/2018
CVI Investments, Inc. 0 0 % 09/02/2018
Martin D. Hoe United States 0 9531 0 9531 9531 4.99 % 18/01/2018
Martin D. Hoe United States 0 9531 0 9531 9531 4.99 % 18/01/2018
Empery Asset Management, LP Delaware 0 9531 0 9531 9531 4.99 % 18/01/2018
Ryan M. Lane United States 0 9531 0 9531 9531 4.99 % 18/01/2018
Empery Asset Management, LP Delaware 0 9531 0 9531 9531 4.99 % 18/01/2018
Ryan M. Lane United States 0 9531 0 9531 9531 4.99 % 18/01/2018
CVI Investments, Inc. 7070707 5.7 % 17/10/2017
CVI Investments, Inc. Cayman Islands 0 7070707 0 7070707 7070707 5.7 % 17/10/2017
Heights Capital Management, Inc. Delaware 0 7070707 0 7070707 7070707 5.7 % 17/10/2017
Heights Capital Management, Inc. 7070707 5.7 % 17/10/2017
Ryan M. Lane United States 0 4834659 0 4834659 4834659 9.99 % 01/08/2017
Empery Asset Management, LP Delaware 0 4834659 0 4834659 4834659 9.99 % 01/08/2017
Martin D. Hoe United States 0 4834659 0 4834659 4834659 9.99 % 01/08/2017
Ryan M. Lane United States 0 4834659 0 4834659 4834659 9.99 % 01/08/2017
Martin D. Hoe United States 0 4834659 0 4834659 4834659 9.99 % 01/08/2017
Empery Asset Management, LP Delaware 0 4834659 0 4834659 4834659 9.99 % 01/08/2017
Terren S. Peizer States of America 0 5884330 0 5884330 5884330 6.5 % 15/02/2017
Crede Capital Group, LLC Delaware 0 5884330 0 5884330 5884330 6.5 % 15/02/2017
Crede CG III, Ltd. Bermuda 0 5884330 0 5884330 5884330 6.5 % 15/02/2017
Acuitas Financial Group, LLC California 0 5884330 0 5884330 5884330 6.5 % 15/02/2017
Ryan M. Lane United States 0 2107417 0 2107417 2107417 4.99 % 24/01/2017
Empery Asset Management, LP Delaware 0 2107417 0 2107417 2107417 4.99 % 24/01/2017
Martin D. Hoe United States 0 2107417 0 2107417 2107417 4.99 % 24/01/2017
Martin D. Hoe United States 0 2107417 0 2107417 2107417 4.99 % 24/01/2017
Ryan M. Lane United States 0 2107417 0 2107417 2107417 4.99 % 24/01/2017
Empery Asset Management, LP Delaware 0 2107417 0 2107417 2107417 4.99 % 24/01/2017
Crede Capital Group, LLC Delaware 0 5884330 0 5884330 5884330 9.9 % 16/02/2016
Acuitas Financial Group, LLC California 0 5884330 0 5884330 5884330 9.9 % 16/02/2016
Terren S. Peizer States of America 0 5884330 0 5884330 5884330 9.9 % 16/02/2016
Crede CG III, Ltd. Bermuda 0 5884330 0 5884330 5884330 9.9 % 16/02/2016
Ryan M. Lane United States 0 1162163 0 1162163 1162163 4.99 % 19/01/2016
Empery Asset Management, LP Delaware 0 1162163 0 1162163 1162163 4.99 % 19/01/2016
Empery Asset Management, LP Delaware 0 1162163 0 1162163 1162163 4.99 % 19/01/2016
Martin D. Hoe United States 0 1162163 0 1162163 1162163 4.99 % 19/01/2016
Martin D. Hoe United States 0 1162163 0 1162163 1162163 4.99 % 19/01/2016
Ryan M. Lane United States 0 1162163 0 1162163 1162163 4.99 % 19/01/2016
Empery Asset Management, LP Delaware 0 6000000 0 6000000 6000000 8.47 % 01/06/2015
Ryan M. Lane United States 0 6000000 0 6000000 6000000 8.47 % 01/06/2015
Martin D. Hoe United States 0 6000000 0 6000000 6000000 8.47 % 01/06/2015
Ryan M. Lane United States 0 6000000 0 6000000 6000000 8.47 % 01/06/2015
Empery Asset Management, LP Delaware 0 6000000 0 6000000 6000000 8.47 % 01/06/2015
Martin D. Hoe United States 0 6000000 0 6000000 6000000 8.47 % 01/06/2015
Acuitas Financial Group, LLC California 0 6375726 0 6375726 6375726 9.9 % 17/02/2015
Crede CG III, Ltd. Bermuda 0 6375726 0 6375726 6375726 9.9 % 17/02/2015
Terren S. Peizer States of America 0 6375726 0 6375726 6375726 9.9 % 17/02/2015
Crede Capital Group, LLC Delaware 0 6375726 0 6375726 6375726 9.9 % 17/02/2015
Richard G. Saffire United States 4087246 0 4087246 0 4087246 6.8 % 11/02/2014
Sabby Management, LLC Delaware USA 0 1666666 0 1666666 1666666 3.35 % 07/01/2014
Hal Mintz USA 0 1666666 0 1666666 1666666 3.35 % 07/01/2014
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 1333333 0 1333333 1333333 2.68 % 07/01/2014
Hal Mintz USA 0 1666666 0 1666666 1666666 3.35 % 07/01/2014
Sabby Management, LLC Delaware USA 0 1666666 0 1666666 1666666 3.35 % 07/01/2014
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 1333333 0 1333333 1333333 2.68 % 07/01/2014
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 333333 0 333333 333333 0.67 % 07/01/2014
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 333333 0 333333 333333 0.67 % 07/01/2014
Acuitas Financial Group, LLC California 0 2860000 0 2860000 2860000 5.9 % 07/10/2013
Crede Capital Group, LLC Delaware 0 2860000 0 2860000 2860000 5.9 % 07/10/2013
Crede CG III, Ltd. Bermuda 0 2860000 0 2860000 2860000 5.9 % 07/10/2013
Terren S. Peizer United States America 0 2860000 0 2860000 2860000 5.9 % 07/10/2013
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 3128299 0 3128299 3128299 9.99 % 22/01/2013
Hal Mintz USA 0 3128299 0 3128299 3128299 9.99 % 22/01/2013
Sabby Management, LLC Delaware USA 0 3128299 0 3128299 3128299 9.99 % 22/01/2013
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 2500000 0 2500000 2500000 7.91 % 22/01/2013
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 2500000 0 2500000 2500000 7.91 % 22/01/2013
Hal Mintz USA 0 3128299 0 3128299 3128299 9.99 % 22/01/2013
Sabby Management, LLC Delaware USA 0 3128299 0 3128299 3128299 9.99 % 22/01/2013
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 3128299 0 3128299 3128299 9.99 % 22/01/2013

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District