22nd Century Group提交最多1,880万美元ATM发行补充文件,并披露10月售股募资约470万美元
22nd Century Group, Inc. (0001347858) (Filer)
22nd Century Group于10月23日提交Form S-3招股说明书补充文件,允许通过与Needham & Company的销售协议进行最多1,880万美元的普通股ATM发行。公司披露,2026年10月已售出15,785,757股,募集总额约470万美元;截至10月23日,普通股流通股数为19,202,198股。
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): October 23, 2026
22nd Century Group, Inc.
(Exact Name of Registrant as Specified in Charter)
| Nevada | 001-36338 | 98-0468420 | ||
(State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
| 321 Farmington Road, Mocksville, North Carolina | 27028 | |
| (Address of Principal Executive Office) | (Zip Code) |
Registrant’s telephone number, including area code: (716) 270-1523
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading symbol | Name of each exchange on which registered | ||
| Common Stock, $0.00001 par value | XXII | NASDAQ Capital Market |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 8.01 Other Events.
On October 23, 2026, 22nd Century Group, Inc. (the “Company”) filed with the Securities and Exchange Commission a prospectus supplement to its Registration Statement on Form S-3 (Registration No. 333-294792) permitting the Company to sell up to $18,800,000 shares of the Company’s common stock in its at-the-market offering pursuant to its sales agreement (as amended, the “Sales Agreement”) with Needham & Company, LLC. During October 2026, the Company sold 15,785,757 shares of common stock raising total gross proceeds of approximately $4.7 million pursuant to the Sales Agreement. The Company had 19,202,198 shares of common stock outstanding as of October 23, 2026. This Current Report shall not constitute an offer to sell or the solicitation of an offer to buy nor shall there be any sale of shares of the Company’s common stock in any state in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state.
Item 9.01(d): Financial Statements and Exhibits.
| Exhibit 5.1 | Opinion of Foley & Lardner LLP | |
| Exhibit 23.1 | Consent of Foley & Lardner LLP (included in Exhibit 5.1) | |
| Exhibit 104 | Cover Page Interactive Data File – The cover page XBRL tags are embedded within the inline XBRL document |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| 22nd Century Group, Inc. | |
| Date: October 23, 2026 | /s/ Lawrence Firestone |
| Lawrence Firestone | |
| Chief Executive Officer |
来源:SEC EDGAR · 本站存档