Filing Details

Accession Number:
0001104659-20-052374
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-04-28 16:01:28
Reporting Period:
2020-04-22
Accepted Time:
2020-04-28 16:01:28
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
1697007 Ag Holding Capital Fivet C/O Raber Treuhand Gmbh
Churerstrasse 98
Pfaffikon V8 8808
Yes No 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
Common Stock Disposition 2020-04-22 398,950 $4.33 552,529 No 4 S Indirect See Footnote
Common Stock Disposition 2020-04-23 552,529 $4.35 0 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 55,638 Direct
Footnotes
  1. On April 22, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") sold 398,950 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.42. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote
  2. The shares are held by Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Each of FiveT Capital Holding and FiveT Capital disclaims beneficial ownership of the shares of Common Stock, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that it is the beneficial owner of any of such shares.
  3. On April 23, 2020, Five More Fund sold 552,529 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.405. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. The shares are held by FiveT Capital Holding.