Statement of Changes in Beneficial Ownership (4)

Datum : 21/08/2019 @ 23h36
Quelle : Edgar (US Regulatory)
Name : Plug Power Inc (PLUG)
Kurs : 3.07  0.0 (0.00%) @ 10h05
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Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Conway Gerard L JR
2. Issuer Name and Ticker or Trading Symbol

PLUG POWER INC [ PLUG ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Gen.Counsel, Corp. Sec.,Sr. VP
(Last)          (First)          (Middle)

C/O PLUG POWER INC.,, 968 ALBANY-SHAKER ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

8/19/2019
(Street)

LATHAM, NY 12110
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy)   $2.23   8/19/2019     A      100000   (1)        (2) 8/19/2029   Common Stock   100000   $0   100000   D    
Stock Option (right to buy)   $2.62   8/19/2019     A      100000   (1)        (2) 8/19/2029   Common Stock   100000   $0   100000   D    
Restricted Stock Unit     (3) 8/19/2019     A      200000   (1)        (4)   (4) Common Stock   200000   $0   200000   D    

Explanation of Responses:
(1)  Awarded pursuant to the Issuer's 2011 Stock Option and Incentive Plan.
(2)  33,333 options vest on August 19, 2020, 33,333 options vest on August 19, 2021 and 33,334 options vest on August 19, 2022.
(3)  Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
(4)  66,666 restricted stock units vest on August 19, 2020, 66,667 restricted stock units vest on August 19, 2021 and 66,667 restricted stock units vest on August 19, 2022.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Conway Gerard L JR
C/O PLUG POWER INC.,
968 ALBANY-SHAKER ROAD
LATHAM, NY 12110


Gen.Counsel, Corp. Sec.,Sr. VP

Signatures
/s/ Gerard L. Conway, Jr. 8/21/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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