Initial Statement of Beneficial Ownership (3)
December 28 2021 - 04:02PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response... 0.5 |
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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
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1. Name
and Address of Reporting Person * Hoefelmann
Dirk Ole |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
9/22/2021
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3. Issuer Name and Ticker or Trading
Symbol PLUG POWER INC [PLUG] |
(Last)
(First)
(Middle)
C/O PLUG POWER INC.,, 968 ALBANY-SHAKER ROAD |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
___X___ Officer (give title
below) _____
Other (specify below)
GM, Electrolyzer Solutions / |
(Street)
LATHAM, NY 12110
(City)
(State)
(Zip)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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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 Beneficially
Owned
|
1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Common Stock |
250000 (1) |
D |
|
Common Stock |
269 |
I |
401(k) Plan (2) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying
Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative
Security |
5. Ownership Form of Derivative Security: Direct (D)
or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy) |
(3) |
3/3/2031 |
Common Stock |
250000 |
$43.81 |
D |
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Explanation of
Responses: |
(1) |
Consists of a restricted
stock award made pursuant to Plug Power's 2011 Stock Option and
Incentive Plan (the "2011 Plan"). The restricted stock vests in
three substantially equal installments, with the first installment
vesting on March 3, 2022. |
(2) |
The reporting person holds
269 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
December 6, 2021. |
(3) |
Awarded pursuant to the 2011
Plan. This option shall vest and become exercisable in three
substantially equal annual installments, with the first installment
vesting on March 3, 2022. |
Remarks:
Exhibit 24 - Power of Attorney |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Hoefelmann Dirk Ole
C/O PLUG POWER INC.,
968 ALBANY-SHAKER ROAD
LATHAM, NY 12110 |
|
|
GM, Electrolyzer Solutions |
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Signatures
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/s/ Gerard L. Conway, Jr.,
Attorney-in-Fact |
|
12/28/2021 |
**Signature
of Reporting Person |
Date |
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