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PLUG POWER INC — Director's Dealing 2020
Dec 28, 2020
31473_dirs_2020-12-28_71c923fc-99cb-49a1-86d8-39534734afb9.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PLUG POWER INC (PLUG)
CIK: 0001093691
Period of Report: 2020-12-24
Reporting Person: MIDDLETON PAUL B (CFO & Senior VP)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-12-24 | Common Stock | M | 41667 | $2.23 | Acquired | 241657 | Direct |
| 2020-12-24 | Common Stock | M | 41667 | $2.62 | Acquired | 283324 | Direct |
| 2020-12-24 | Common Stock | M | 133333 | $1.96 | Acquired | 416657 | Direct |
| 2020-12-24 | Common Stock | S | 216667 | $35.1299 | Disposed | 199990 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-12-24 | Stock Option (Right to Buy) | $2.23 | M | 41667 | Disposed | 2029-08-19 | Common Stock (41667) | Direct |
| 2020-12-24 | Stock Option (Right to Buy) | $2.62 | M | 41667 | Disposed | 2029-08-19 | Common Stock (41667) | Direct |
| 2020-12-24 | Stock Option (Right to Buy) | $1.96 | M | 133333 | Disposed | 2028-08-28 | Common Stock (133333) | Direct |
Footnotes
F1: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of September 2, 2020.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.03 to $35.73, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F3: On August 19, 2019, the Reporting Person was granted 125,000 stock options, vesting in three substantially equal installments beginning on the first anniversary of the grant date.
F4: On August 19, 2019, the Reporting Person was granted 125,000 stock options, vesting in three substantially equal installments beginning on the first anniversary of the grant date.
F5: On August 28, 2018, the Reporting Person was granted 200,000 stock options, vesting in three substantially equal installments beginning on the first anniversary of the grant date.