0001104659-22-124244.txt : 20221202
0001104659-22-124244.hdr.sgml : 20221202
20221202184411
ACCESSION NUMBER: 0001104659-22-124244
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220819
FILED AS OF DATE: 20221202
DATE AS OF CHANGE: 20221202
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: 221443340
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
tm2231922-6_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-08-19
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 & Executive VP
Common Stock
2022-08-19
4
F
0
47792
28.43
D
281639
D
Common Stock
2022-09-28
4
F
0
38233
21.85
D
243406
D
Common Stock
38836
I
401(k) Plan
Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock award.
The initial grant of the restricted stock award was reported on a Form 4 filed on August 21, 2019, but was inadvertently disclosed as a restricted stock unit award instead of a restricted stock award
Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of August 18, 2022, which is the date prior to the date withholding was effected.
The total Amount of Securities Beneficially Owned in Table I, Column 5 reflects the addition of 83,333 shares of the restricted stock award that was previously reported inadvertently on Table II as part of 250,000 restricted stock units on the Form 4 filed on August 21, 2019.
Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of September 27, 2022, which is the date prior to the date withholding was effected.
The Reporting Person holds 38,836 shares of common stock in Plug Power Inc.'s 401(k) plan. The information in this report is based on a plan statement as of November 14, 2022.
/s/ Gerard L. Conway, Jr., Attorney-in-Fact
2022-12-02