Form D · Biotechnology

22nd Century Limited, LLC

Williamsville, NY · CIK 0001496108

Offering snapshot reported May 20, 2011 · SEC filing

Reported sold
$5.43M
Offering amount: $5.43M
Investors reported
30
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Dec 22, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.72M$5.43MDec 22, 2010: $100,000.00Dec 22, 2010Jan 25, 2011: $100,000.00Jan 25, 2011May 20, 2011: $5,434,446.00May 20, 2011

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$100,000 → $5,434,446
  • Reported investors1 → 30

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 20, 2011Amendment$5,434,446$5,334,446vs Jan 25, 201130SEC filing
Jan 25, 2011Amendment$100,000$0vs Dec 22, 20101SEC filing
Dec 22, 2010Initial$100,000No comparison1SEC filing

Offering details

Securities
Equity, Option to acquire, Security to be acquired
Exemptions
06
Duration over one year
No
Business combination
Yes
Sales commissions
$435K
Finders' fees
$0
Form D file number
021-152345
The offering is completed.
Rodman's commission of $395,376 was rolled into deal for 395,376 shares and a warrant to purchase 197,688 shares. Rodman also received a warrant to purchase 394,755 shares; Gottbetter received $40,000 in commissions and a warrant to purchase 40,000 shares

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Rodman & Renshaw, LLC16415
Gottbetter Capital Markets, LLC20680

Source: Form D, filed May 20, 2011. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Michael R. Moynihan, Ph.D. Director, Executive
Joseph Pandolfino Director, Executive
C. Anthony Rider Director, Executive
Henry Sicignano, Iii Director, Executive

Issuer details

Industry: Biotechnology (See others in industry)

Address:
8201 Main Street Suite 6
Williamsville, NY, 14221-6046