SEC Form 4 · accession 0001104659-16-164542
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul B Middleton
Officer — Chief Financial Officer
Period of report
Dec 1, 2016
Accepted (ET)
Dec 30, 2016 · 4:03 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 | Dec 1, 2016 | M | 13,334 | — | A | 21,420 | D | |
| Common Stock | Dec 22, 2016 | F | 4,952 | $1.31 | D | 16,468 | 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 | $1.31 | Dec 1, 2016 | M | 13,334 | D | — | — | Common Stock | 13,322 | 0 | D |
Explanation of responses
- F1Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
- F2The restricted stock units vest in equal monthly installments over a three-year period beginning on December 1, 2014. All unvested restricted stock units will vest effective upon the consummation of a change in control.