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PLUG Plug Power Inc

2.4399
0.0599 (2.52%)
27 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Plug Power Inc NASDAQ:PLUG NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.0599 2.52% 2.4399 2.42 2.44 2.44 2.38 2.41 16,642,161 00:59:52

Statement of Changes in Beneficial Ownership (4)

01/09/2020 10:07pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

MIDDLETON PAUL B
2. Issuer Name and Ticker or Trading Symbol

PLUG POWER INC [ PLUG ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
CFO & Senior VP
(Last)          (First)          (Middle)

C/O PLUG POWER INC., 968 ALBANY SHAKER ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

8/19/2020
(Street)

LATHAM, NY 12110
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Plug Power Common Stock 8/19/2020  M  83333 A (1)152316 D  
Plug Power Common Stock 8/19/2020  F(2)  39959 D$13.65 112357 D  
Plug Power Common Stock 8/28/2020  M  66666 A (1)179023 D  
Plug Power Common Stock 8/28/2020  F(2)  31967 D$13.07 147056 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit  (1)8/19/2020  M     83333   (3) (3)Common Stock 83333 $0 166667 D  
Restricted Stock Unit  (1)8/28/2020  M     66666   (4) (4)Common Stock 66666 $0 66667 D  

Explanation of Responses:
(1) Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
(2) 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.
(3) On August 19, 2019, the Reporting Person was granted 250,000 restricted stock units, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
(4) 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
MIDDLETON PAUL B
C/O PLUG POWER INC.
968 ALBANY SHAKER ROAD
LATHAM, NY 12110


CFO & Senior VP

Signatures
/s/ Gerard L. Conway, Jr., Attorney-in-Fact9/1/2020
**Signature of Reporting PersonDate

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