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