0001104659-20-052371.txt : 20200428
0001104659-20-052371.hdr.sgml : 20200428
20200428160041
ACCESSION NUMBER: 0001104659-20-052371
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200416
FILED AS OF DATE: 20200428
DATE AS OF CHANGE: 20200428
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: 20824835
MAIL ADDRESS:
STREET 1: C/O PLUG POWER INC.
STREET 2: 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
2020-04-16
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
Common Stock
2020-04-16
4
C
0
923819
0
A
951479
I
See Footnote
Common Stock
55638
I
See Footnote
Common Stock
210115
D
Series C Redeemable Convertible Preferred Stock
2020-04-16
4
C
0
870
0
D
Common Stock
923819
0
I
See Footnote
Series C Redeemable Convertible Preferred Stock
Common Stock
1858256
1750
I
See Footnote
On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common 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.
The shares are held by Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Mr. 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, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of these shares, 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 of such shares.
The shares are held by FiveT Capital Holding. Mr. Roth disclaims beneficial ownership of these shares, 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 of such shares.
/s/ Gerard L. Conway Jr., Attorney-in-Fact
2020-04-28