SEC Form 4 · accession 0001104659-15-082727
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Paul B Middleton
Officer — President, CFO
Period of report
Dec 1, 2015
Accepted (ET)
Dec 3, 2015 · 4:23 pm EST
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 StockF1 | Dec 1, 2015 | M | 13,334 | — | A | 13,334 | D | |
| Common Stock | Dec 1, 2015 | F | 5,248 | $2.19 | D | 8,086 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Dec 1, 2015 | M | 13,334 | D | — | — | Common Stock | 13,334 | 26,666 | D |
Explanation of responses
- F1Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
- F2The restricted stock units vest in equal monthly installments over a three-year period beginning on December 1, 2014. All unvested restricted stock units will vest effective upon the consummation of a change in control.
Remarks
Andrew Marsh serves as the Chief Financial Officer of Plug Power Inc.