SEC Form 4 · accession 0001104659-17-057591
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Mar 15, 2017
Accepted (ET)
Sep 18, 2017 · 1:21 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 Stock | Mar 15, 2017 | A | 12,636 | $1.03 | A | 51,960 | D | |
| Common Stock | Mar 16, 2017 | S | 12,636 | $1.0712 | D | 39,324 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person received 12,636 shares of Common Stock as a payment-in-kind dividend on 10,431 shares of Series C Redeemable, Convertible Preferred Stock owned on the record date.
Remarks
Xavier Pontone serves on the board of directors of Plug Power Inc. as the representative of Air Liquide Investissements d'Avenir et de Demonstration.