SEC Form 4 · accession 0001104659-16-134363
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerard L Conway Jr.
Officer — General Counsel
Period of report
Jul 23, 2016
Accepted (ET)
Jul 26, 2016 · 4:13 pm EDT
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, 2016 | M | 11,111 | — | A | 16,373 | D | |
| Common Stock | Jul 23, 2016 | F | 5,854 | $1.79 | D | 10,519 | D | |
| Common StockF2 | holding | — | — | — | 38,949 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F4 | — | Jul 23, 2016 | M | 11,111 | D | — | — | Common Stock | 11,111 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2The reporting person holds 38,949 shares of Plug Power Common Stock under a 401(k) plan. The information in this report is based on a plan statement as of December 31, 2015.
- F3Awarded pursuant to Plug Power's 2011 Stock Option and Incentive Plan.
- F4The restricted stock units are fully vested as of July 23, 2016.