Filing Details
- Accession Number:
- 0001104659-20-101450
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-09-01 17:05:33
- Reporting Period:
- 2020-08-19
- Accepted Time:
- 2020-09-01 17:05:33
- 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 |
|---|---|---|---|---|---|---|---|
| 1637696 | Daniel Martin Hull | C/O Plug Power Inc. 968 Albany Shaker Road Latham NY 12110 | Corporate Controller And Cao | 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 | 2020-08-19 | 16,667 | $0.00 | 25,503 | No | 4 | M | Direct | |
| Plug Power Common Stock | Disposition | 2020-08-19 | 7,559 | $13.65 | 17,944 | No | 4 | F | Direct | |
| Plug Power Common Stock | Acquisiton | 2020-08-28 | 13,334 | $0.00 | 31,278 | No | 4 | M | Direct | |
| Plug Power Common Stock | Disposition | 2020-08-28 | 6,047 | $13.07 | 25,231 | No | 4 | F | Direct | |
| Plug Power Common Stock | Acquisiton | 2020-08-31 | 33,333 | $2.14 | 58,564 | No | 4 | M | Direct | |
| Plug Power Common Stock | Disposition | 2020-08-31 | 33,333 | $13.11 | 25,231 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | Restricted Stock Unit | Disposition | 2020-08-19 | 16,667 | $0.00 | 16,667 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2020-08-28 | 13,334 | $0.00 | 13,334 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-31 | 33,333 | $0.00 | 33,333 | $2.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 33,333 | No | 4 | M | Direct | ||
| 13,333 | No | 4 | M | Direct | ||
| 0 | 2027-08-31 | 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.
- On August 19, 2019, the Reporting Person was granted 50,000 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 40,000 restricted stock units, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
- 33,334 options vested on August 31, 2018, 33,333 options vested on August 31, 2019 and 33,333 options vested on August 31, 2020.
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