SEC Form 5 · accession 0001179110-15-002441
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George C McNamee
Director · Other
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 11:38 am 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 |
|---|---|---|---|---|---|---|---|---|
| Plug Power Common StockF1 | Oct 1, 2014 | A | 5,102 | $4.41 | A | 261,250 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Plug Power Common StockF2,F3 | $5.63 | Jul 23, 2014 | A | 15,000 | A | — | Jul 23, 2024 | Plug Power Common Stock | 15,000 | 145,500 | D |
| Warrant ConversionF4,F5 | $0.93 | Sep 16, 2013 | C | 96,774 | A | — | May 31, 2016 | Plug Power Common Stock | 96,774 | 242,274 | D |
Explanation of responses
- F1Quarterly stock compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Director Compensation Plan.
- F2Award pursuant to Plug Power's 2011 Non-Employee Director Compensation Plan.
- F3Consists of an option to acquire common stock granted on July 23, 2014 with respect to which 15,000 shares will become exercisable one year from the grant date provided the non-employee director has remained a director of the Company during that one year period.
- F4This Warrant previously was reported as relating to 30,000 shares with an exercise price of $3.00 per share. As a result of the Warrant's adjustment provisions, the Warrant was adjusted to relate to 96,774 shares and an exercise price of $0.93 per share.
- F5Warrants became exercisable upon issuance.