0001104659-20-024086.txt : 20200224
0001104659-20-024086.hdr.sgml : 20200224
20200224074429
ACCESSION NUMBER: 0001104659-20-024086
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200218
FILED AS OF DATE: 20200224
DATE AS OF CHANGE: 20200224
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Conway Gerard L JR
CENTRAL INDEX KEY: 0001308706
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34392
FILM NUMBER: 20642077
MAIL ADDRESS:
STREET 1: 968 ALBANY-SHAKER ROAD
CITY: LATHAM
STATE: NY
ZIP: 12110
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
4
1
a4.xml
4
X0306
4
2020-02-18
0
0001093691
PLUG POWER INC
PLUG
0001308706
Conway Gerard L JR
C/O PLUG POWER INC.
968 ALBANY SHAKER ROAD
LATHAM
NY
12110
0
1
0
0
Gen. Counsel,Corp.Sec.,Sr. VP
Plug Power Common Stock
2020-02-18
4
M
0
49133
2.14
A
95428
D
Plug Power Common Stock
2020-02-18
4
M
0
66667
1.96
A
162095
D
Plug Power Common Stock
2020-02-18
4
S
0
115800
5.00
D
46295
D
Plug Power Common Stock
2020-02-19
4
M
0
200000
2.43
A
246295
D
Plug Power Common Stock
2020-02-19
4
M
0
167534
2.14
A
413829
D
Plug Power Common Stock
2020-02-19
4
S
0
367534
5.0963
D
46295
D
Stock Option (right to buy)
2.14
2020-02-18
4
M
0
49133
0
D
2027-08-31
Common Stock
49133
275867
D
Stock Option (right to buy)
1.96
2020-02-18
4
M
0
66667
0
D
2028-08-28
Common Stock
66667
133333
D
Stock Option (right to buy)
2.43
2020-02-19
4
M
0
200000
0
D
2025-07-23
Common Stock
200000
0
D
Stock Option (right to buy)
2.14
2020-02-19
4
M
0
167534
0
D
2027-08-31
Common Stock
167534
108333
D
Shares sold pursuant to a pre-established 10b5-1 trading plan.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.26, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
On August 31, 2017, the Reporting Person was granted 325,000 stock options, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
On August 28, 2018, the Reporting Person was granted 200,000 stock options, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.
The Form 5 filed on February 16, 2016 included an incorrect expiration date (07/23/2015) and an incorrect number of securities beneficially owned (649,949).
/s/ Gerard L. Conway, Jr.
2020-02-24