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PLUG POWER INC — Director's Dealing 2020
Dec 15, 2020
31473_dirs_2020-12-15_b6cd0c96-6620-44d7-b642-0c637fa5b6b3.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: 2020-12-11
Reporting Person: WILLIS GARY K (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-12-11 | Common Stock | M | 1200 | $5.10 | Acquired | 412133 | Direct |
| 2020-12-11 | Common Stock | M | 65000 | $1.93 | Acquired | 477133 | Direct |
| 2020-12-11 | Common Stock | M | 12000 | $1.22 | Acquired | 489133 | Direct |
| 2020-12-11 | Common Stock | M | 12000 | $0.38 | Acquired | 501133 | Direct |
| 2020-12-11 | Common Stock | S | 75900 | $26.7451 | Disposed | 425233 | Direct |
| 2020-12-11 | Common Stock | S | 14300 | $27.4639 | Disposed | 410933 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-12-11 | Stock Option (Right to Buy) | $5.10 | M | 1200 | Disposed | 2021-05-12 | Common Stock (1200) | Direct |
| 2020-12-11 | Stock Option (Right to Buy) | $1.93 | M | 65000 | Disposed | 2021-09-20 | Common Stock (65000) | Direct |
| 2020-12-11 | Stock Option (Right to Buy) | $1.22 | M | 12000 | Disposed | 2022-05-16 | Common Stock (12000) | Direct |
| 2020-12-11 | Stock Option (Right to Buy) | $0.38 | M | 12000 | Disposed | 2023-06-28 | Common Stock (12000) | Direct |
Footnotes
F1: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of November 11, 2020.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.24 to $27.23, 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.24 to $27.84, 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.
F4: This option was previously reported as covering 12,000 shares at an exercise price of $0.51 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on May 19, 2011.
F5: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.