0001104659-20-126474.txt : 20201117 0001104659-20-126474.hdr.sgml : 20201117 20201117190401 ACCESSION NUMBER: 0001104659-20-126474 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201113 FILED AS OF DATE: 20201117 DATE AS OF CHANGE: 20201117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roth Johannes Minho CENTRAL INDEX KEY: 0001590334 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34392 FILM NUMBER: 201322460 MAIL ADDRESS: STREET 1: C/O PLUG POWER INC. STREET 2: 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 a4.xml 4 X0306 4 2020-11-13 0 0001093691 PLUG POWER INC PLUG 0001590334 Roth Johannes Minho C/O PLUG POWER INC. 968 ALBANY SHAKER ROAD LATHAM NY 12110 1 0 0 0 Common Stock 2020-11-13 4 S 0 1221123 22.9326 D 693911 I See Footnote Common Stock 2020-11-13 4 S 0 693911 23.4235 D 0 I See Footnote Common Stock 227112 D The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.25 to $23.24. 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 set forth in this footnote. The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.25 to $23.87. 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 set forth in this footnote. /s/ Gerard L. Conway Jr., Attorney-in-Fact 2020-11-17