SEC Form 4 · accession 0001104659-15-062090
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Marsh
Officer — President and CEO · Director
Period of report
Aug 27, 2015
Accepted (ET)
Aug 27, 2015 · 12:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001093691
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 27, 2015 | X | 26,882 | $0.93 | A | 270,435 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1,F2 | $0.93 | Aug 27, 2015 | X | 26,882 | D | — | May 31, 2016 | Common Stock | 26,882 | 1,935,022 | D |
Explanation of responses
- F1This Warrant previously reported as relating to 15,000 shares with an exercise price of $3.00 per share. As a result of the Warrant's adjustment provisions, the Warrant was adjusted to related to 48,387 shares and an exercise price of $0.93 per share. This Warrant has been exercised in exchange for a cash payment by the reporting owner.
- F2Warrant became exerciseable upon issuance.