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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants | $ 3 | 05/31/2011 | P | 15,000 | 05/31/2011 | 05/31/2016 | Plug Power Common Stock | 15,000 | $ 2.42 (1) | 161,850 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Marsh Andrew 968 ALBANY SHAKER ROAD LATHAM, NY 12110 |
X | President and CEO |
/s/ Gerard L. Conway, Jr., Attorney in Fact | 06/02/2011 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The shares and warrants were acquired on May 31, 2011 as part of a public offering of shares of common stock and warrants to purchase shares of common stock. Pursuant to the terms of the public offering, each share of common stock was sold together with 0.75 of a 5-year warrant to purchase one share of common stock for an aggregate purchase price of $2.42 per combination. |
(2) | On May 19, 2011, Plug Power Inc. effected a 1-for-10 reverse stock split of its common stock, resulting in the reporting person's ownership of 166,186 fewer shares of common stock. |
(3) | Existing stock options held by the reporting person have been adjusted to reflect the 1-for-10 reverse stock split as follows: 40,000 granted 4/8/2008 exercise price $35.80; 250 granted on 5/20/2009 exercise price $9.50; 106,600 granted on 4/13/2011 exercise price of $6.10. |