Filing Details
- Accession Number:
- 0001104659-20-004368
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-01-15 17:15:59
- Reporting Period:
- 2020-01-13
- Accepted Time:
- 2020-01-15 17:15:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1093691 | Plug Power Inc | PLUG | Electrical Industrial Apparatus (3620) | 223672377 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1308706 | Jr L Gerard Conway | C/O Plug Power Inc. 968 Albany Shaker Road Latham NY 12110 | Gen.counsel, Corp. Sec.,Sr. Vp | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Plug Power Common Stock | Acquisiton | 2020-01-13 | 16,666 | $2.17 | 62,961 | No | 4 | M | Direct | |
| Plug Power Common Stock | Acquisiton | 2020-01-13 | 33,333 | $0.37 | 96,294 | No | 4 | M | Direct | |
| Plug Power Common Stock | Acquisiton | 2020-01-13 | 50,000 | $1.72 | 146,294 | No | 4 | M | Direct | |
| Plug Power Common Stock | Disposition | 2020-01-13 | 99,999 | $4.26 | 46,295 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2020-01-13 | 16,666 | $0.00 | 16,666 | $2.17 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-01-13 | 33,333 | $0.00 | 33,333 | $0.37 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-01-13 | 50,000 | $0.00 | 50,000 | $1.72 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-12-13 | No | 4 | M | Direct | |
| 0 | 2023-07-24 | No | 4 | M | Direct | |
| 0 | 2026-08-09 | No | 4 | M | Direct |
Footnotes
- Shares sold pursuant to a pre-established 10b5-1 trading plan.
- This transaction was executed in multiple trades at prices ranging from $4.25 to $4.265. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- 50,000 options were granted on December 13, 2011 and vested as follows: 16,667 options vested on December 13, 2012; 16,667 options vested on December 13, 2013; and 16,666 options vested on December 13, 2014.
- 200,000 options were granted on July 24, 2013 and vested as follows: 66,667 options vested on July 24, 2014, 66,667 options vested on July 24, 2015 and 66,666 options vested on July 24, 2016.
- 150,000 options were granted on August 9, 2016 and vested as follows: 50,000 options vested on August 9, 2017, 50,000 options vested on August 9, 2018 and 50,000 options vested on August 9, 2019.
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