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