0001104659-21-001674.txt : 20210106 0001104659-21-001674.hdr.sgml : 20210106 20210106195256 ACCESSION NUMBER: 0001104659-21-001674 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Conway Gerard L JR CENTRAL INDEX KEY: 0001308706 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34392 FILM NUMBER: 21512495 MAIL ADDRESS: STREET 1: 968 ALBANY-SHAKER ROAD CITY: LATHAM STATE: NY ZIP: 12110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PLUG POWER INC CENTRAL INDEX KEY: 0001093691 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620] IRS NUMBER: 223672377 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 968 ALBANY-SHAKER ROAD CITY: LATHAM STATE: NY ZIP: 12110 BUSINESS PHONE: 5187827700 MAIL ADDRESS: STREET 1: 968 ALBANY-SHAKER ROAD CITY: LATHAM STATE: NY ZIP: 12110 4 1 tm211870-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-01-04 0 0001093691 PLUG POWER INC PLUG 0001308706 Conway Gerard L JR C/O PLUG POWER INC. 968 ALBANY SHAKER ROAD LATHAM NY 12110 0 1 0 0 Gen Counsel, Corp Sec, Sr VP Common Stock 2021-01-04 4 M 0 108333 2.14 A 293852 D Common Stock 2021-01-04 4 S 0 61538 31.9402 D 232314 D Common Stock 2021-01-04 4 S 0 35095 32.7113 D 197219 D Common Stock 2021-01-04 4 S 0 6100 33.6186 D 191119 D Common Stock 2021-01-04 4 S 0 5600 34.5887 D 185519 D Stock Option (Right to Buy) 2.14 2021-01-04 4 M 0 108333 0 D 2027-08-31 Common Stock 108333 0 D Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 16, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.19 to $32.18, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.19 to $33.18, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.19 to $34.17, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.19 to $34.90, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof. /s/ Gerard L. Conway, Jr. 2021-01-06