Filing Details
- Accession Number:
- 0001104659-21-094883
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-07-22 16:00:30
- Reporting Period:
- 2021-05-09
- Accepted Time:
- 2021-07-22 16:00:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1775802 | K Sanjay Shrestha | C/O Plug Power Inc., 968 Albany-Shaker Road Latham NY 12110 | Chief Strategy Officer | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-05-09 | 50,000 | $0.00 | 275,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-07-13 | 5,700 | $28.43 | 269,300 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-07-15 | 14,154 | $23.05 | 255,146 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2021-05-09 | 50,000 | $0.00 | 50,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 50,000 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
- Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of June 9, 2020.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.19 to $28.70, 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.
- Tendered to Issuer to satisfy tax withholding obligations of Reporting Person in connection with the Reporting Person's restricted stock unit award.
- On May 9, 2019, the Reporting Person was granted 150,000 restricted stock units, vesting in three substantially equal installments beginning on the first anniversary of the grant date. Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
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