SEC Form 5 · accession 0001104659-16-097435
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Johannes Minho Roth
Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 5:21 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 | Apr 2, 2015 | A | 2,728 | $2.52 | A | 41,243 | D | |
| Common StockF1 | Jul 17, 2015 | A | 2,926 | $2.35 | A | 41,243 | D |
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 Plug Power Common StockF2,F3 | $2.62 | May 21, 2015 | A | 30,000 | A | May 21, 2015 | May 21, 2025 | Plug Power Common Stock | 30,000 | 115,000 | D |
Explanation of responses
- F1Quarterly Stock compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.
- F2Award pursuant to Plug Power's 2011 Non-Employee Director Compensation Plan.
- F3Consists of an option to acquire common stock granted on May 21, 2015 with respect to which 30,000 shares will become exercisable one year from the grant date provided the non-employee director has remained a director of the Company during that one year period.