Filing Details

Accession Number:
0001104659-20-139755
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-12-28 16:11:51
Reporting Period:
2020-12-24
Accepted Time:
2020-12-28 16:11:51
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
1224978 B Paul Middleton C/O Plug Power Inc.
968 Albany Shaker Road
Latham NY 12110
Cfo & Senior 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
Common Stock Acquisiton 2020-12-24 41,667 $2.23 241,657 No 4 M Direct
Common Stock Acquisiton 2020-12-24 41,667 $2.62 283,324 No 4 M Direct
Common Stock Acquisiton 2020-12-24 133,333 $1.96 416,657 No 4 M Direct
Common Stock Disposition 2020-12-24 216,667 $35.13 199,990 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 2020-12-24 41,667 $0.00 41,667 $2.23
Common Stock Stock Option (Right to Buy) Disposition 2020-12-24 41,667 $0.00 41,667 $2.62
Common Stock Stock Option (Right to Buy) Disposition 2020-12-24 133,333 $0.00 133,333 $1.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
83,333 2029-08-19 No 4 M Direct
83,333 2029-08-19 No 4 M Direct
66,667 2028-08-28 No 4 M Direct
Footnotes
  1. Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of September 2, 2020.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.03 to $35.73, 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. On August 19, 2019, the Reporting Person was granted 125,000 stock options, vesting in three substantially equal installments beginning on the first anniversary of the grant date.
  4. On August 19, 2019, the Reporting Person was granted 125,000 stock options, vesting in three substantially equal installments beginning on the first anniversary of the grant date.
  5. On August 28, 2018, the Reporting Person was granted 200,000 stock options, vesting in three substantially equal installments beginning on the first anniversary of the grant date.