SEC Form 5 · accession 0001179110-15-002442
PLUG POWER INC · PLUG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Marsh
Officer — President and CEO · Director
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
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant ConversionF1,F2 | $0.93 | Sep 16, 2013 | C | 48,387 | A | — | May 31, 2016 | Plug Power Common Stock | 48,387 | 1,961,904 | D |
Explanation of responses
- F1This Warrant previously was reported as relating to 15,000 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 48,387 shares and an exercise price of $0.93 per share.
- F2Warrant became exercisable upon issuance.