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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 | ||||||||
Option to Purchase Plug Power Common Stock | $ 1.93 | 09/20/2011 | A | 65,000 (1) | (2) | 09/20/2021 | Plug Power Common Stock | 65,000 | $ 0 | 88,200 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HELMER MAUREEN O 968 ALBANY SHAKER ROAD LATHAM, NY 12110 |
X |
/s/ Gerard L. Conway, Jr., Attorney in Fact | 09/30/2011 | |
**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) | Awarded pursuant to Plug Power's 2011 Stock Option and Incentive Plan. |
(2) | Consists of an option to acquire common stock granted on September 20, 2011 with respect to which: 21,667 shares will become exercisable on September 20, 2012; 21,667 shares will become exercisable on September 20, 2013; 21,666 shares will become exercisable on September 20, 2014. |
(3) | 1,500 granted on 2/12/2004 exercise price $93.90; 1,000 granted on 5/20/2004 exercise price $75.00; 1,000 granted on 6/1/2005 exercise price $62.20; 1,200 granted on 6/28/2006 exercise price $46.40; 1,200 granted on 5/17/2007 exercise price $29.80; 1,200 granted on 5/21/2008 exercise price $32.10; 1,200 granted on 5/20/2009 exercise price $9.50; 12,500 granted 5/20/2009 exercise price $9.50; 1,200 granted on 5/19/2010 exercise price $4.80; 1,200 granted on 5/12/2011 exercise price $5.10. |