SEC Form 4 · accession 0001104659-18-054551
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Daniel Hull
Officer — Corporate Controller and CAO
Period of report
Aug 28, 2018
Accepted (ET)
Aug 30, 2018 · 6:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001093691
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F2 | $1.96 | Aug 28, 2018 | A | 40,000 | A | — | Aug 28, 2028 | Common Stock | 40,000 | 40,000 | D |
| Restricted Stock UnitF1,F3,F4 | — | Aug 28, 2018 | A | 40,000 | A | — | — | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Awarded pursuant to the Issuer's 2011 Stock Option and Incentive Plan.
- F213,333 options vest on August 28, 2019, 13,333 options vest on August 28, 2020 and 13,334 options vest on August 28, 2021.
- F3Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
- F413,333 restricted stock units vest on August 28, 2019, 13,333 restricted stock units vest on August 28, 2020 and 13,334 restricted stock units vest on August 28, 2021.