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