0001104659-20-071010.txt : 20200608 0001104659-20-071010.hdr.sgml : 20200608 20200608200708 ACCESSION NUMBER: 0001104659-20-071010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200604 FILED AS OF DATE: 20200608 DATE AS OF CHANGE: 20200608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marsh Andrew CENTRAL INDEX KEY: 0001431827 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34392 FILM NUMBER: 20950614 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 2020-06-04 0 0001093691 PLUG POWER INC PLUG 0001431827 Marsh Andrew C/O PLUG POWER INC., 968 ALBANY-SHAKER ROAD LATHAM NY 12110 1 1 0 0 President and CEO Plug Power Common Stock 2020-06-04 4 M 0 38786 1.72 A 208343 D Plug Power Common Stock 2020-06-04 4 S 0 103931 5.00 D 104412 D Plug Power Common Stock 2020-06-05 4 M 0 358378 1.72 A 462790 D Plug Power Common Stock 2020-06-05 4 S 0 358378 5.0271 D 104412 D Plug Power Common Stock 2020-06-08 4 M 0 190336 1.72 A 294748 D Plug Power Common Stock 2020-06-08 4 M 0 466666 2.14 A 761414 D Plug Power Common Stock 2020-06-08 4 S 0 657002 5.0259 D 104412 D Stock Option (right to buy) 1.72 2020-06-04 4 M 0 38786 0 D 2026-08-09 Common Stock 38786 548714 D Stock Option (right to buy) 1.72 2020-06-05 4 M 0 358378 0 D 2026-08-09 Common Stock 358378 190336 D Stock Option (right to buy) 1.72 2020-06-08 4 M 0 190336 0 D 2026-08-09 Common Stock 190336 0 D Stock Option (right to buy) 2.14 2020-06-08 4 M 0 466666 0 D 2027-08-31 Common Stock 466666 933334 D Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 17, 2020. 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 $5.10, 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. 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 $5.135, 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. The stock option granted to the reporting person is fully vested and exercisable as of the date hereof. 466,666 options vested on August 31, 2018, 466,667 options vested on August 31, 2019 and 466,667 options vest on August 31, 2020. /s/ Gerard L. Conway, Jr., Attorney-in-Fact 2020-06-08