SEC Form 4/A · accession 0001104659-15-083089
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Paul B Middleton
Officer — SVP, CFO - See Remarks
Period of report
Dec 1, 2015
Accepted (ET)
Dec 4, 2015 · 8:43 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
This amendment is being filed solely to correct the title of the reporting person on his original Form 4 filed on December 3, 2015 (the "Original Form 4"). The Original Form 4 indicated that the reporting person held the title of President and Chief Financial Officer when he in fact holds the title of Senior Vice President and Chief Financial Officer. Paul Middleton serves as the Chief Financial Officer of Plug Power Inc.