Filing Details
- Accession Number:
- 0001104659-20-135725
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-15 16:01:57
- Reporting Period:
- 2020-12-11
- Accepted Time:
- 2020-12-15 16:01:57
- 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 |
|---|---|---|---|---|---|---|---|
| 1121475 | K Gary Willis | C/O Plug Power Inc. 968 Albany Shaker Road Latham NY 12110 | 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 | Acquisiton | 2020-12-11 | 1,200 | $5.10 | 412,133 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-11 | 65,000 | $1.93 | 477,133 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-11 | 12,000 | $1.22 | 489,133 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-11 | 12,000 | $0.38 | 501,133 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-11 | 75,900 | $26.75 | 425,233 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-11 | 14,300 | $27.46 | 410,933 | 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 | M | Direct | |
| No | 4 | S | 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 | 2020-12-11 | 1,200 | $0.00 | 1,200 | $5.10 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-11 | 65,000 | $0.00 | 65,000 | $1.93 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-11 | 12,000 | $0.00 | 12,000 | $1.22 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-11 | 12,000 | $0.00 | 12,000 | $0.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-05-12 | No | 4 | M | Direct | |
| 0 | 2021-09-20 | No | 4 | M | Direct | |
| 0 | 2022-05-16 | No | 4 | M | Direct | |
| 0 | 2023-06-28 | No | 4 | M | Direct |
Footnotes
- Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of November 11, 2020.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.24 to $27.23, inclusive. 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.24 to $27.84, inclusive. 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.
- This option was previously reported as covering 12,000 shares at an exercise price of $0.51 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on May 19, 2011.
- The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.
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