0001104659-20-052372.txt : 20200428
0001104659-20-052372.hdr.sgml : 20200428
20200428160056
ACCESSION NUMBER: 0001104659-20-052372
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200422
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: 20824846
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
2020-04-22
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
2020-04-22
4
S
0
398950
4.3267
D
552529
I
See Footnote
Common Stock
2020-04-23
4
S
0
552529
4.3475
D
0
I
See Footnote
Common Stock
55638
I
See Footnote
Common Stock
210115
D
On April 22, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") sold 398,950 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.42. 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 set forth in this footnote.
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.
On April 23, 2020, Five More Fund sold 552,529 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.405. 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 set forth in this footnote.
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