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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 Common Stock | $ 0.95 | 05/20/2009 | A | 2,500 (3) | (4) | 05/20/2019 | Common Stock | 2,500 | $ 0 | 189,527 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPERRY MARK A 968 ALBANY SHAKER ROAD LATHAM, NY 12110 |
VP & GM Continuous Power Div |
/s/ Gerard L. Conway, Jr., Attorney in Fact | 05/22/2009 | |
**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) | Stock grant pursuant to the Plug Power 2009 Stock Option and Incentive Plan and the Executive Incentive Plan as adopted by the Board of Directors on February 15, 2007 and as amended by the Board of Directors on July 30, 2008. |
(2) | Sale of shares to satisfy income tax withholding obligation. |
(3) | Awarded pursuant to Plug Power's 2009 Founder's Grant and Long-Term Incentive Plan. |
(4) | The stock options vest as follows: 834 shares become exercisable on May 20, 2010; 833 shares become exercisable on May 20, 2011; 833 shares become exercisable on May 20, 2012. |