- Statement of Changes in Beneficial Ownership (4)
June 02 2011 - 3:35PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0287
Expires:
February 28, 2011
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MCNAMEE GEORGE C
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2. Issuer Name
and
Ticker or Trading Symbol
PLUG POWER INC
[
PLUG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
Chairman of the Board
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(Last)
(First)
(Middle)
968 ALBANY SHAKER ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/31/2011
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(Street)
LATHAM, NY 12110
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Plug Power Common Stock
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5/31/2011
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P
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40000
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A
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$2.42
(1)
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91096
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Warrants
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$3
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5/31/2011
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P
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30000
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5/31/2011
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5/31/2016
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Plug Power Common Stock
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30000
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$2.42
(1)
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70500
(3)
(4)
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D
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Explanation of Responses:
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(
1)
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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.
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(
2)
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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 459,873 fewer shares of common stock.
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(
3)
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Existing stock options held by the reporting person have been adjusted to reflect the 1-for-10 reverse stock split as follows: 2,000 granted 5/16/2002 exercise price $102.30; 1,500 granted 5/22/2003 exercise price $50.20; 1,500 granted 5/20/2004 exercise price $75.00; 1,500 granted 6/1/2005 exercise price $62.20; 1,500 granted 6/28/2006 exercise price $46.40; 1,500 granted 5/17/2007 exercise price $29.80; 1,500 granted 5/21/2008 exercise price $32.10; 12,500 granted 2/10/2009 exercise price $9.10; 1,500 granted 5/20/2009 exercise price $9.50; 12,500 granted 5/20/2009 exercise price $9.50; 1,500 granted 5/19/2010 exercise price $4.80; 1,500 granted 5/12/2011 exercise price $5.10.
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(
4)
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This total also accounts for 2,000 options that expired on May 16, 2011.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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MCNAMEE GEORGE C
968 ALBANY SHAKER ROAD
LATHAM, NY 12110
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X
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Chairman of the Board
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Signatures
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/s/ Gerard L. Conway, Jr., Attorney in Fact
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6/2/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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