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PLUG POWER INC — Director's Dealing 2020
Jun 9, 2020
31473_dirs_2020-06-09_61805323-ffa3-4a5f-b4bc-02e4ea0037f1.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: 2020-06-05
Reporting Person: Roth Johannes Minho (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-06-05 | Plug Power Common Stock | A | 12807 | $0.00 | Acquired | 225394 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-06-05 | Stock Option (right to buy) | $4.88 | A | 12807 | Acquired | 2030-06-05 | Common Stock (12807) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Plug Power Common Stock | 55638 | Indirect |
Footnotes
F1: Consists of a restricted stock unit award made pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan. The restricted stock units vest (100%) on the first anniversary of the grant date.
F2: The shares are held by FiveT Capital Holding. Mr. Roth disclaims beneficial ownership of these shares, 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.
F3: The options vest (100%) on the first anniversary of the grant date .