0001104659-21-094883.txt : 20210722 0001104659-21-094883.hdr.sgml : 20210722 20210722160030 ACCESSION NUMBER: 0001104659-21-094883 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210509 FILED AS OF DATE: 20210722 DATE AS OF CHANGE: 20210722 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shrestha Sanjay K CENTRAL INDEX KEY: 0001775802 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34392 FILM NUMBER: 211107588 MAIL ADDRESS: STREET 1: 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 tm2122379-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-05-09 0 0001093691 PLUG POWER INC PLUG 0001775802 Shrestha Sanjay K C/O PLUG POWER INC., 968 ALBANY-SHAKER ROAD LATHAM NY 12110 0 1 0 0 Chief Strategy Officer Common Stock 2021-05-09 4 M 0 50000 A 275000 D Common Stock 2021-07-13 4 S 0 5700 28.4325 D 269300 D Common Stock 2021-07-15 4 F 0 14154 23.05 D 255146 D Restricted Stock Unit 2021-05-09 4 M 0 50000 0 D Common Stock 50000 50000 D Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock. Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of June 9, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.19 to $28.70, 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. Tendered to Issuer to satisfy tax withholding obligations of Reporting Person in connection with the Reporting Person's restricted stock unit award. On May 9, 2019, the Reporting Person was granted 150,000 restricted stock units, vesting in three substantially equal installments beginning on the first anniversary of the grant date. Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock. /s/ Gerard L. Conway, Jr., Attorney-in-Fact 2021-07-22