0001104659-21-006361.txt : 20210121 0001104659-21-006361.hdr.sgml : 20210121 20210121174613 ACCESSION NUMBER: 0001104659-21-006361 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210119 FILED AS OF DATE: 20210121 DATE AS OF CHANGE: 20210121 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: 21543087 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 tm213809-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-01-19 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 & CEO Common Stock 2021-01-19 4 M 0 106600 6.10 A 855280 D Common Stock 2021-01-19 4 M 0 466668 2.14 A 1321948 D Common Stock 2021-01-19 4 S 0 13482 62.6504 D 1308466 D Common Stock 2021-01-19 4 S 0 49918 63.9660 D 1258548 D Common Stock 2021-01-19 4 S 0 156051 64.8196 D 1102497 D Common Stock 2021-01-19 4 S 0 114120 65.6612 D 988377 D Common Stock 2021-01-19 4 S 0 132753 66.5801 D 855624 D Common Stock 2021-01-19 4 S 0 101766 67.7270 D 753858 D Common Stock 2021-01-19 4 S 0 5178 68.3109 D 748680 D Stock Option (Right to Buy) 6.10 2021-01-19 4 M 0 106600 0 D 2021-04-13 Common Stock 106600 0 D Stock Option (Right to Buy) 2.14 2021-01-19 4 M 0 466668 0 D 2027-08-31 Common Stock 466668 0 D Shares sold pursuant to a pre-established 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.25 to $63.23, 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 $63.26 to $64.25, 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 $64.26 to $65.25, 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 $65.26 to $66.25, 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 $66.26 to $67.25, 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 $67.26 to $68.2504, 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 $68.26 to $68.43, 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. This option was previously reported as covering 1,066,000 shares at an exercise price of $0.61 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on May 19, 2011. 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 2021-01-21