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Filing Details

Accession Number:: 0001104659-21-006361
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-01-21 17:46:13
Reporting Period:: 2021-01-19

Accepted Time:: 2021-01-21 17:46:13
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 & Ceo	Yes	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
Common Stock	Acquisiton	2021-01-19	106,600	$6.10	855,280	No	4	M	Direct
Common Stock	Acquisiton	2021-01-19	466,668	$2.14	1,321,948	No	4	M	Direct
Common Stock	Disposition	2021-01-19	13,482	$62.65	1,308,466	No	4	S	Direct
Common Stock	Disposition	2021-01-19	49,918	$63.97	1,258,548	No	4	S	Direct
Common Stock	Disposition	2021-01-19	156,051	$64.82	1,102,497	No	4	S	Direct
Common Stock	Disposition	2021-01-19	114,120	$65.66	988,377	No	4	S	Direct
Common Stock	Disposition	2021-01-19	132,753	$66.58	855,624	No	4	S	Direct
Common Stock	Disposition	2021-01-19	101,766	$67.73	753,858	No	4	S	Direct
Common Stock	Disposition	2021-01-19	5,178	$68.31	748,680	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	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	Stock Option (Right to Buy)	Disposition	2021-01-19	106,600	$0.00	106,600	$6.10
Common Stock	Stock Option (Right to Buy)	Disposition	2021-01-19	466,668	$0.00	466,668	$2.14

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2021-04-13	No	4	M	Direct
0		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 $62.25 to $63.23, 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 $63.26 to $64.25, 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 $64.26 to $65.25, 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 $65.26 to $66.25, 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 $66.26 to $67.25, 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 $67.26 to $68.2504, 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 $68.26 to $68.43, 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.
This option was previously reported as covering 1,066,000 shares at an exercise price of $0.61 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on May 19, 2011.
The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.