SEC Form 5 · accession 0001104659-16-097438
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xavier Pontone
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 | 1,984 | $2.52 | A | 12,939 | D | |
| Common StockF1 | Jul 17, 2015 | A | 2,128 | $2.35 | A | 12,939 | 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 Common StockF2 | $2.62 | May 21, 2015 | A | 30,000 | A | May 21, 2015 | May 21, 2025 | Common Stock | 30,000 | 105,000 | 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.