SEC Form 4/A · accession 0001104659-17-055368
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Douglas T Hickey
Director
Period of report
Jun 28, 2017
Accepted (ET)
Sep 5, 2017 · 12:52 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 |
|---|---|---|---|---|---|---|---|---|
| Plug Power Common StockF1 | Jun 28, 2017 | A | 29,343 | $2.13 | A | 66,016 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionsF2,F3 | $2.13 | Jun 28, 2017 | A | 29,343 | A | — | Jun 28, 2027 | Common Stock | 29,343 | 29,343 | D |
Explanation of responses
- F1Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.
- F2Options to purchase Common Stock granted in accordance with Plug Power's 2011 Non-Employee Directors Compensation Plan.
- F3This option shall become fully vested on June 28, 2018.