Filing Details

Accession Number:
0001104659-20-082059
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-07-08 16:01:22
Reporting Period:
2020-07-06
Accepted Time:
2020-07-08 16:01:22
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 C/O Plug Power Inc.
968 Albany Shaker Road
Latham NY 12110
President And Ceo Yes 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 2020-07-06 1,000,000 $5.39 1,104,412 No 4 M Direct
Plug Power Common Stock Acquisiton 2020-07-06 166,667 $1.96 1,271,079 No 4 M Direct
Plug Power Common Stock Disposition 2020-07-06 1,166,667 $10.01 104,412 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2020-07-06 1,000,000 $0.00 1,000,000 $5.39
Common Stock Stock Option (Right to Buy) Disposition 2020-07-06 166,667 $0.00 166,667 $1.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2024-07-24 No 4 M Direct
333,333 2028-08-28 No 4 M Direct
Footnotes
  1. Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 17, 2020.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.08, 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.
  3. The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.
  4. 166,667 options vested on August 28, 2019, 166,667 options vest on August 28, 2020 and 166,666 options vest on August 28, 2021.