SEC Form 4 · accession 0001104659-18-062592
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerard L Conway Jr.
Officer — GC, Corp Secretary & Senior VP
Period of report
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 8:50 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 Stock | Oct 15, 2018 | M | 100,000 | $0.37 | A | 110,519 | D | |
| Plug Power Common StockF1,F2 | Oct 15, 2018 | S | 100,000 | $1.8585 | D | 10,519 | D |
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)F3 | $0.37 | Oct 15, 2018 | M | 100,000 | D | — | Jul 24, 2023 | Common Stock | 100,000 | 33,333 | D |
Explanation of responses
- F1Shares sold pursuant to a pre-established 10b5-1 trading plan.
- F2This transaction was executed in multiple trades at prices ranging from $1.8100 to $1.8850. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3200,000 options were granted on July 24, 2013 and vested as follows: 66,667 options vested on July 24, 2014, 66,667 options vested on July 24, 2015 and 66,666 options vested on July 24, 2016.