0001104659-17-006728.txt : 20170206
0001104659-17-006728.hdr.sgml : 20170206
20170206181320
ACCESSION NUMBER: 0001104659-17-006728
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170126
FILED AS OF DATE: 20170206
DATE AS OF CHANGE: 20170206
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: FiveT Capital Holdings AG
CENTRAL INDEX KEY: 0001697007
STATE OF INCORPORATION: V8
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34392
FILM NUMBER: 17576693
BUSINESS ADDRESS:
STREET 1: C/O RABER TREUHAND GMBH
STREET 2: CHURERSTRASSE 98
CITY: PFAFFIKON
STATE: V8
ZIP: 8330
BUSINESS PHONE: 41 43 322 2510
MAIL ADDRESS:
STREET 1: C/O RABER TREUHAND GMBH
STREET 2: CHURERSTRASSE 98
CITY: PFAFFIKON
STATE: V8
ZIP: 8330
3
1
a3.xml
3
X0206
3
2017-01-26
0
0001093691
PLUG POWER INC
PLUG
0001697007
FiveT Capital Holdings AG
C/O RABER TREUHAND GMBH
CHURERSTRASSE 98
PFAFFIKON
V8
8330
SWITZERLAND
1
0
0
0
Series C Redeemable Convertible Preferred Stock
Common Stock
1858256
D
Series C Redeemable Convertible Preferred Stock
Common Stock
923819
I
See Footnotes
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.
These shares are held directly by FiveT Capital Holding.
These shares are held directly by FiveMore Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding, provides investment advisory services to FiveMore Fund.
Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of the Board of Directors of the Issuer. Each of FiveT Capital Holding, FiveT Capital and FiveMore Fund disclaims beneficial ownership of the shares of Series C Preferred Stock, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that it is the beneficial owner of any of such shares.
/s/ FiveT Capital Holding AG, by Johannes Minho Roth, Managing Director
2017-02-06