SEC Form 5 · accession 0001104659-16-097432
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith Schmid
Officer — Chief Operating Officer
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 5:20 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 | holding | — | — | — | 12,695 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Common StockF2,F3 | $2.43 | Jul 23, 2015 | A | 250,000 | A | — | Jul 23, 2025 | Plug Power Common Stock | 250,000 | 1,050,000 | D |
Explanation of responses
- F1The reporting person holds 12,695 shares of Plug Power common stock under the Plug 401(k) plan. The information in this report is based on a plan statement dated as of December 31, 2015.
- F2Awarded pursuant to Plug Power's 2011 Stock Option and Incentive Plan.
- F383,334 options vest on July 23, 2016, 83,333 options vest on July 23, 2017 and 83,333 options vest on July 23, 2018.