0001104659-20-093890.txt : 20200812 0001104659-20-093890.hdr.sgml : 20200812 20200812160621 ACCESSION NUMBER: 0001104659-20-093890 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200810 FILED AS OF DATE: 20200812 DATE AS OF CHANGE: 20200812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MIDDLETON PAUL B CENTRAL INDEX KEY: 0001224978 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34392 FILM NUMBER: 201095509 MAIL ADDRESS: STREET 1: PLUG POWER INC. STREET 2: 968 ALBANY SHAKER RD. 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 2020-08-10 0 0001093691 PLUG POWER INC PLUG 0001224978 MIDDLETON PAUL B C/O PLUG POWER INC. 968 ALBANY SHAKER ROAD LATHAM NY 12110 0 1 0 0 CFO & Senior VP Plug Power Common Stock 2020-08-10 4 M 0 250000 2.43 A 318983 D Plug Power Common Stock 2020-08-10 4 M 0 300000 1.72 A 618983 D Plug Power Common Stock 2020-08-10 4 S 0 550000 12.0000 D 68983 D Stock Option (Right to Buy) 2.43 2020-08-10 4 M 0 250000 0 D 2025-07-23 Common Stock 250000 0 D Stock Option (Right to Buy) 1.72 2020-08-10 4 M 0 300000 0 D 2026-08-09 Common Stock 300000 0 D Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of June 11, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.00 to $12.01, 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. /s/ Gerard L. Conway Jr., Attorney-in-Fact 2020-08-12