PLUG POWER INC — Director's Dealing 2020

Nov 18, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PLUG POWER INC (PLUG)
CIK: 0001093691
Period of Report: 2020-11-13

Reporting Person: Roth Johannes Minho (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-13	Common Stock	C	1858256	—	Acquired	1915034	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-13	Series C Redeemable Convertible Preferred Stock	$	C	1750	Disposed		Common Stock (1858256)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	227112	Direct

Footnotes

F1: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.