Statement of Changes in Beneficial Ownership (4)

Date : 01/08/2020 @ 10:55PM
Source : Edgar (US Regulatory)
Stock : Plug Power Inc (PLUG)
Quote : 3.72  0.0 (0.00%) @ 9:06AM

Statement of Changes in Beneficial Ownership (4)

FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Conway Gerard L JR
2. Issuer Name and Ticker or Trading Symbol

PLUG POWER INC [ PLUG ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Gen.Counsel, Corp. Sec.,Sr. VP
(Last)          (First)          (Middle)

C/O PLUG POWER INC., 968 ALBANY SHAKER ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

1/6/2020
(Street)

LATHAM, NY 12110
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Plug Power Common Stock 1/6/2020  M  100000 A$1.72 146295 D  
Plug Power Common Stock 1/6/2020  S  100000 (1)D$3.50 46295 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (right to buy) $1.72 1/6/2020  M     100000   (2)8/9/2026 Common Stock 100000 $0 50000 D  

Explanation of Responses:
(1) Shares sold pursuant to a pre-established 10b5-1 trading plan.
(2) 150,000 options were granted on August 9, 2016 and vested as follows: 50,000 options vested on August 9, 2017, 50,000 options vested on August 9, 2018 and 50,000 options vested on August 9, 2019.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Conway Gerard L JR
C/O PLUG POWER INC.
968 ALBANY SHAKER ROAD
LATHAM, NY 12110


Gen.Counsel, Corp. Sec.,Sr. VP

Signatures
/s/ Gerard L. Conway, Jr.1/8/2020
**Signature of Reporting PersonDate

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