Filing Details
- Accession Number:
- 0001104659-20-024086
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-24 07:44:29
- Reporting Period:
- 2020-02-18
- Accepted Time:
- 2020-02-24 07:44:29
- 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 | 2020-02-18 | 49,133 | $2.14 | 95,428 | No | 4 | M | Direct | |
| Plug Power Common Stock | Acquisiton | 2020-02-18 | 66,667 | $1.96 | 162,095 | No | 4 | M | Direct | |
| Plug Power Common Stock | Disposition | 2020-02-18 | 115,800 | $5.00 | 46,295 | No | 4 | S | Direct | |
| Plug Power Common Stock | Acquisiton | 2020-02-19 | 200,000 | $2.43 | 246,295 | No | 4 | M | Direct | |
| Plug Power Common Stock | Acquisiton | 2020-02-19 | 167,534 | $2.14 | 413,829 | No | 4 | M | Direct | |
| Plug Power Common Stock | Disposition | 2020-02-19 | 367,534 | $5.10 | 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 | S | 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 | 2020-02-18 | 49,133 | $0.00 | 49,133 | $2.14 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-02-18 | 66,667 | $0.00 | 66,667 | $1.96 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-02-19 | 200,000 | $0.00 | 200,000 | $2.43 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-02-19 | 167,534 | $0.00 | 167,534 | $2.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 275,867 | 2027-08-31 | No | 4 | M | Direct | |
| 133,333 | 2028-08-28 | No | 4 | M | Direct | |
| 0 | 2025-07-23 | No | 4 | M | Direct | |
| 108,333 | 2027-08-31 | No | 4 | M | Direct |
Footnotes
- Shares sold pursuant to a pre-established 10b5-1 trading plan.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.26, 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.
- On August 31, 2017, the Reporting Person was granted 325,000 stock options, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
- On August 28, 2018, the Reporting Person was granted 200,000 stock options, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
- The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.
- The Form 5 filed on February 16, 2016 included an incorrect expiration date (07/23/2015) and an incorrect number of securities beneficially owned (649,949).
Billionaire Hedge Funds
