0001104659-17-005020.txt : 20170130
0001104659-17-005020.hdr.sgml : 20170130
20170130174311
ACCESSION NUMBER: 0001104659-17-005020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170126
FILED AS OF DATE: 20170130
DATE AS OF CHANGE: 20170130
ISSUER:
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
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Roth Johannes Minho
CENTRAL INDEX KEY: 0001590334
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34392
FILM NUMBER: 17558651
MAIL ADDRESS:
STREET 1: C/O PLUG POWER INC.
STREET 2: 968 ALBANY SHAKER ROAD
CITY: LATHAM
STATE: NY
ZIP: 12110
4
1
a4.xml
4
X0306
4
2017-01-26
0
0001093691
PLUG POWER INC
PLUG
0001590334
Roth Johannes Minho
C/O PLUG POWER INC.
968 ALBANY SHAKER ROAD
LATHAM
NY
12110
1
0
0
0
Series C Redeemable Convertible Preferred Stock
2017-01-26
4
P
0
2620
1256.81
A
Common Stock
2782075
2620
I
See footnote
The Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.
On January 26, 2017, FiveT Capital Holding AG, a limited liability company existing under the laws of Switzerland ("FiveT Capital Holding"), and Five More Special Situations Fund Limited, a Cayman Islands company ("FiveMore Fund"), purchased 1,750 shares and 870 shares, respectively, of the Series C Preferred Stock for an aggregate purchase price of $3,292,850, or $1,256.81 per share.
The reporting person is the Managing Director and Chairman of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. A wholly-owned subsidiary of FiveT Capital Holding provides investment advisory services to FiveMore Fund. The reporting person disclaims beneficial ownership of the shares of Series C Preferred Stock directly held by FiveT Capital Holding and FiveMore Fund, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any ofsuch shares.
/s/ Gerard L. Conway Jr., Attorney-in-Fact
2017-01-30