SEC Form 5 · accession 0001104659-16-097419
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
Dec 31, 2014
Accepted (ET)
Feb 16, 2016 · 5:17 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 | Jul 23, 2014 | M | 122,222 | — | A | 375,243 | D | |
| Common Stock | Jul 23, 2014 | F | 61,075 | $5.63 | D | 375,243 | 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 UnitsF2,F1,F3 | — | Jul 23, 2014 | M | 122,222 | D | — | — | Common Stock | 122,222 | 244,445 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Awarded pursuant to Plug Power's 2011 Stock Option and Incentive Plan.
- F3The restricted stock units vest as follows: 122,222 shares vest on July 23, 2014; 122,223 shares vest on July 23, 2015; 122,222 shares lapse on July 23, 2016.