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