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