Filing Details
- Accession Number:
- 0001093691-11-000020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-02 16:07:40
- Reporting Period:
- 2011-05-31
- Filing Date:
- 2011-06-02
- Accepted Time:
- 2011-06-02 16:07:40
- 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 |
---|---|---|---|---|---|---|---|
1431827 | Andrew Marsh | 968 Albany Shaker Road Latham NY 12110 | Yes | No | No | Yes |
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 | 2011-05-31 | 20,000 | $2.42 | 38,465 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Plug Power Common Stock | Warrants | Acquisiton | 2011-05-31 | 15,000 | $2.42 | 15,000 | $3.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
161,850 | 2011-05-31 | 2016-05-31 | No | 4 | P | Direct |
Footnotes
- The shares and warrants were acquired on May 31, 2011 as part of a public offering of shares of common stock and warrants to purchase shares of common stock. Pursuant to the terms of the public offering, each share of common stock was sold together with 0.75 of a 5-year warrant to purchase one share of common stock for an aggregate purchase price of $2.42 per combination.
- On May 19, 2011, Plug Power Inc. effected a 1-for-10 reverse stock split of its common stock, resulting in the reporting person's ownership of 166,186 fewer shares of common stock.
- Existing stock options held by the reporting person have been adjusted to reflect the 1-for-10 reverse stock split as follows: 40,000 granted 4/8/2008 exercise price $35.80; 250 granted on 5/20/2009 exercise price $9.50; 106,600 granted on 4/13/2011 exercise price of $6.10.