0001104659-21-002569.txt : 20210108 0001104659-21-002569.hdr.sgml : 20210108 20210108174856 ACCESSION NUMBER: 0001104659-21-002569 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210107 FILED AS OF DATE: 20210108 DATE AS OF CHANGE: 20210108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Conway Gerard L JR CENTRAL INDEX KEY: 0001308706 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34392 FILM NUMBER: 21518580 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 tm212245-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-01-07 0 0001093691 PLUG POWER INC [PLUG] 0001308706 Conway Gerard L JR C/O PLUG POWER INC. 968 ALBANY SHAKER ROAD LATHAM NY 12110 0 1 0 0 Gen Counsel, Corp Sec, Sr VP Common Stock 2021-01-07 4 M 0 33333 2.23 A 218852 D Common Stock 2021-01-07 4 S 0 33333 43.6844 D 185519 D Stock Option (Right to Buy) 2.23 2021-01-07 4 M 0 33333 0 D 2029-08-19 Common Stock 33333 66667 D Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 16, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.66 to $44.42, 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. 33,333 options vested on August 19, 2020, 33,333 options vest on August 19, 2021 and 33,334 options vest on August 19, 2022. /s/ Gerard L. Conway, Jr. 2021-01-08