-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ph66kTTlk8j3ZEy5EroTXu7VDLxnlIN9kcHyN5HWYomd5kl9Mt4VSZGFHuF61Hxx RKXVzyOdV0heVFQSy5BzPg== 0000040545-99-000039.txt : 19991029 0000040545-99-000039.hdr.sgml : 19991029 ACCESSION NUMBER: 0000040545-99-000039 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991028 FILED AS OF DATE: 19991028 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLUG POWER INC CENTRAL INDEX KEY: 0001093691 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620] IRS NUMBER: 223672377 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-27527 FILM NUMBER: 99736010 BUSINESS ADDRESS: STREET 1: 968 ALBANY-SHAKER ROAD CITY: LATHAM STATE: NY ZIP: 12110 BUSINESS PHONE: 5187827700 MAIL ADDRESS: STREET 1: 968 ALBANY-SHAKER ROAD CITY: LATHAM STATE: NY ZIP: 12110 COMPANY DATA: COMPANY CONFORMED NAME: GENERAL ELECTRIC CO CENTRAL INDEX KEY: 0000040545 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] OWNER IRS NUMBER: 140689340 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 3135 EASTON TURNPIKE STREET 2: C/O BANK OF NEW YORK CITY: FAIRFIELD STATE: CT ZIP: 06431 BUSINESS PHONE: 203-373-2441 MAIL ADDRESS: STREET 1: 3135 EASTON TURNPIKE CITY: FAIRFIELD STATE: CT ZIP: 06431 3 1 FORM 3 --------------------------- OMB APPROVAL --------------------------- OMB NUMBER: 3235-0104 EXPIRES: DECEMBER 31, 2001 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE ...0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person General Electric Company 3135 Easton Turnpike Fairfield, Connecticut 06431-0001 2. Date of Event Requiring Statement (Month/Day/Year) 10/28/99 3 IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Plug Power, Inc. (PLUG) 5. Relationship of Reporting Person to Issuer (Check all applicable) ( ) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 7. 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 Beneficially Owned 1. Title of Security 2. Amount of 3. Ownership 4. Nature of (Instr. 4) Securities Form: Indirect Beneficially Direct (D) Beneficial Owned or Ownership (Instr. 4) Indirect (Instr. 5) (I) (Instr. 5) Common Stock 5,250,000 I Through wholly-owned subsidiary Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. FORM 3 (CONTINUED) Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. Date Exer- 3. Title and Amount 4. Conversion 5. Ownership 6. Nature of Derivative cisable and of Securities or Form of Indirect Security Expiration Underlying Exercise Derivative Beneficial (Instr. 4) Date Derivative Price of Security: Ownership (Month/Day/ Security Derivative Direct (D) (Instr. 5) Year) Secrity or Indirect (I) (Instr. 5) - ------------- ------------------ --------------------- ------------- -------------- Date Expira- Title Amount Exer- tion or cisable Date Number of Shares ------- ------- --------- ------
Explanation of Responses: ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). GENERAL ELECTRIC COMPANY /s/ Janet Bedol October 28, 1999 - ---------------------------------------- ---------------- **Signature of Reporting Person Date By: Janet Bedol as Attorney-in-Fact Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient. See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. -----END PRIVACY-ENHANCED MESSAGE-----