Statement of Changes in Beneficial Ownership (4)
September 30 2020 - 05:46PM
Edgar (US Regulatory)
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
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 * Marsh Andrew |
2. Issuer Name and Ticker or Trading
Symbol PLUG POWER INC [ PLUG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
President & CEO |
(Last)
(First)
(Middle)
C/O PLUG POWER INC., 968 ALBANY SHAKER ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/28/2020
|
(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 |
Common Stock |
9/28/2020 |
|
A(1) |
|
550000 |
A |
$0 |
748680 |
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
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. 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 Date |
7. 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) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy) |
$13.20 |
9/28/2020 |
|
A (2) |
|
225000 |
|
(3) |
9/28/2030 |
Common Stock |
225000 |
$0 |
225000 |
D |
|
Stock Option (Right to Buy) |
$15.51 |
9/28/2020 |
|
A (2) |
|
225000 |
|
(4) |
9/28/2030 |
Common Stock |
225000 |
$0 |
225000 |
D |
|
Explanation of
Responses: |
(1) |
Consists of a restricted
stock unit award made pursuant to the Issuer's 2011 Stock Option
and Incentive Plan. The restricted stock units vest in three
substantially equal installments beginning on the first anniversary
of the grant date. |
(2) |
Awarded pursuant to the
Issuer's 2011 Stock Option and Incentive Plan. |
(3) |
On September 28, 2020, the
Reporting Person was granted 225,000 stock options, vesting in
three substantially equal installments beginning on the first
anniversary of the grant date. |
(4) |
On September 28, 2020, the
Reporting Person was granted 225,000 stock options, vesting in
three substantially equal installments beginning on the first
anniversary of the grant date. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Marsh Andrew
C/O PLUG POWER INC.
968 ALBANY SHAKER ROAD
LATHAM, NY 12110 |
X |
|
President & CEO |
|
Signatures
|
/s/ Gerard L. Conway Jr.,
Attorney-in-Fact |
|
9/30/2020 |
**Signature of Reporting
Person |
Date |
Plug Power (NASDAQ:PLUG)
Historical Stock Chart
From Dec 2020 to Jan 2021
Plug Power (NASDAQ:PLUG)
Historical Stock Chart
From Jan 2020 to Jan 2021