PLUG POWER INC — Director's Dealing 2020

Aug 12, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PLUG POWER INC (PLUG)
CIK: 0001093691
Period of Report: 2020-08-10

Reporting Person: MIDDLETON PAUL B (CFO & Senior VP)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-10	Plug Power Common Stock	M	250000	$2.43	Acquired	318983	Direct
2020-08-10	Plug Power Common Stock	M	300000	$1.72	Acquired	618983	Direct
2020-08-10	Plug Power Common Stock	S	550000	$12.0000	Disposed	68983	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-08-10	Stock Option (Right to Buy)	$2.43	M	250000	Disposed	2025-07-23	Common Stock (250000)	Direct
2020-08-10	Stock Option (Right to Buy)	$1.72	M	300000	Disposed	2026-08-09	Common Stock (300000)	Direct

Footnotes

F1: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of June 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 $12.00 to $12.01, 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 stock option granted to the reporting person is fully vested and exercisable as of the date hereof.