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PLUG POWER INC — Director's Dealing 2020
Jan 15, 2020
31473_dirs_2020-01-15_5cf5d93d-b2bf-405d-8c54-3f907f4e0bce.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: 2020-01-13
Reporting Person: Conway Gerard L JR (Gen.Counsel, Corp. Sec.,Sr. VP)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-01-13 | Plug Power Common Stock | M | 16666 | $2.17 | Acquired | 62961 | Direct |
| 2020-01-13 | Plug Power Common Stock | M | 33333 | $0.37 | Acquired | 96294 | Direct |
| 2020-01-13 | Plug Power Common Stock | M | 50000 | $1.72 | Acquired | 146294 | Direct |
| 2020-01-13 | Plug Power Common Stock | S | 99999 | $4.257 | Disposed | 46295 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-01-13 | Stock Option (right to buy) | $2.17 | M | 16666 | Disposed | 2021-12-13 | Common Stock (16666) | Direct |
| 2020-01-13 | Stock Option (right to buy) | $0.37 | M | 33333 | Disposed | 2023-07-24 | Common Stock (33333) | Direct |
| 2020-01-13 | Stock Option (right to buy) | $1.72 | M | 50000 | Disposed | 2026-08-09 | Common Stock (50000) | Direct |
Footnotes
F1: Shares sold pursuant to a pre-established 10b5-1 trading plan.
F2: This transaction was executed in multiple trades at prices ranging from $4.25 to $4.265. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: 50,000 options were granted on December 13, 2011 and vested as follows: 16,667 options vested on December 13, 2012; 16,667 options vested on December 13, 2013; and 16,666 options vested on December 13, 2014.
F4: 200,000 options were granted on July 24, 2013 and vested as follows: 66,667 options vested on July 24, 2014, 66,667 options vested on July 24, 2015 and 66,666 options vested on July 24, 2016.
F5: 150,000 options were granted on August 9, 2016 and vested as follows: 50,000 options vested on August 9, 2017, 50,000 options vested on August 9, 2018 and 50,000 options vested on August 9, 2019.