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Filing Details

Accession Number:: 0001104659-20-101449
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-09-01 17:05:18
Reporting Period:: 2020-08-19

Accepted Time:: 2020-09-01 17:05:18
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Plug Power Common Stock	Acquisiton	2020-08-19	66,667	$0.00	77,186	No	4	M	Direct
Plug Power Common Stock	Disposition	2020-08-19	31,314	$13.65	45,872	No	4	F	Direct
Plug Power Common Stock	Disposition	2020-08-27	35,353	$13.01	10,519	No	4	S	Direct
Plug Power Common Stock	Acquisiton	2020-08-28	66,666	$0.00	77,185	No	4	M	Direct
Plug Power Common Stock	Disposition	2020-08-28	31,314	$13.07	45,871	No	4	F	Direct
Plug Power Common Stock	Acquisiton	2020-08-28	66,667	$1.96	112,538	No	4	M	Direct
Plug Power Common Stock	Disposition	2020-08-28	66,667	$12.96	45,871	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Unit	Disposition	2020-08-19	66,667	$0.00	66,667	$0.00
Common Stock	Restricted Stock Unit	Disposition	2020-08-28	66,666	$0.00	66,666	$0.00
Common Stock	Stock Option (Right to Buy)	Disposition	2020-08-28	66,667	$0.00	66,667	$1.96

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
133,333		No	4	M	Direct
66,667		No	4	M	Direct
66,666	2028-08-28	No	4	M	Direct

Footnotes

Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock unit awards.
Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 16, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.73 to $13.41, 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 $12.71 to $13.11, 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 19, 2019, the Reporting Person was granted 200,000 restricted stock units, 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 restricted stock units, 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.