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PLUG POWER INC — Director's Dealing 2020
Sep 1, 2020
31473_dirs_2020-09-01_ac8cc55d-2215-4512-a7f1-126287db0387.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: 2020-08-19
Reporting Person: Hull Martin Daniel (Corporate Controller and CAO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-08-19 | Plug Power Common Stock | M | 16667 | — | Acquired | 25503 | Direct |
| 2020-08-19 | Plug Power Common Stock | F | 7559 | $13.65 | Disposed | 17944 | Direct |
| 2020-08-28 | Plug Power Common Stock | M | 13334 | — | Acquired | 31278 | Direct |
| 2020-08-28 | Plug Power Common Stock | F | 6047 | $13.07 | Disposed | 25231 | Direct |
| 2020-08-31 | Plug Power Common Stock | M | 33333 | $2.14 | Acquired | 58564 | Direct |
| 2020-08-31 | Plug Power Common Stock | S | 33333 | $13.11 | Disposed | 25231 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-08-19 | Restricted Stock Unit | $ | M | 16667 | Disposed | Common Stock (16667) | Direct | |
| 2020-08-28 | Restricted Stock Unit | $ | M | 13334 | Disposed | Common Stock (13334) | Direct | |
| 2020-08-31 | Stock Option (Right to Buy) | $2.14 | M | 33333 | Disposed | 2027-08-31 | Common Stock (33333) | Direct |
Footnotes
F1: Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
F2: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock unit awards.
F3: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 16, 2020.
F4: On August 19, 2019, the Reporting Person was granted 50,000 restricted stock units, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
F5: On August 28, 2018, the Reporting Person was granted 40,000 restricted stock units, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.
F6: 33,334 options vested on August 31, 2018, 33,333 options vested on August 31, 2019 and 33,333 options vested on August 31, 2020.