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PLUG Plug Power Inc

2.32
-0.08 (-3.33%)
01 May 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
  -0.08 -3.33% 2.32 2.30 2.32 2.37 2.28 2.36 30,011,629 00:59:48

Statement of Changes in Beneficial Ownership (4)

11/01/2021 10:29pm

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 *

Conway Gerard L JR
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)
Gen Counsel, Corp Sec, Sr VP
(Last)          (First)          (Middle)

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

1/8/2021
(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
Common Stock 1/8/2021  M  33333 A$2.62 218852 D  
Common Stock 1/8/2021  S(1)  33333 D$52.07 185519 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
Stock Option (Right to Buy) $2.62 1/8/2021  M     33333   (2)8/19/2029 Common Stock 33333 $0 66667 D  

Explanation of Responses:
(1) Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 16, 2020.
(2) 33,333 options vested on August 19, 2020, 33,333 options vest on August 19, 2021 and 33,334 options vest on August 19, 2022.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Conway Gerard L JR
C/O PLUG POWER INC.
968 ALBANY SHAKER ROAD
LATHAM, NY 12110


Gen Counsel, Corp Sec, Sr VP

Signatures
/s/ Gerard L. Conway, Jr.1/11/2021
**Signature of Reporting PersonDate

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