4//SEC Filing
Roth Johannes Minho 4
Accession 0001104659-20-052371
CIK 0001093691other
Filed
Apr 27, 8:00 PM ET
Accepted
Apr 28, 4:00 PM ET
Size
11.3 KB
Accession
0001104659-20-052371
Insider Transaction Report
Form 4
PLUG POWER INCPLUG
Roth Johannes Minho
Director
Transactions
- Conversion
Common Stock
2020-04-16+923,819→ 951,479 total(indirect: See Footnote) - Conversion
Series C Redeemable Convertible Preferred Stock
2020-04-16−870→ 0 total(indirect: See Footnote)→ Common Stock (923,819 underlying)
Holdings
- 210,115
Common Stock
- 1,750(indirect: See Footnote)
Series C Redeemable Convertible Preferred Stock
→ Common Stock (1,858,256 underlying) - 55,638(indirect: See Footnote)
Common Stock
Footnotes (3)
- [F1]On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common Stock. The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.
- [F2]The shares are held by Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of these shares, 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.
- [F3]The shares are held by FiveT Capital Holding. Mr. Roth disclaims beneficial ownership of these shares, 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.
Documents
Issuer
PLUG POWER INC
CIK 0001093691
Entity typeother
Related Parties
1- filerCIK 0001590334
Filing Metadata
- Form type
- 4
- Filed
- Apr 27, 8:00 PM ET
- Accepted
- Apr 28, 4:00 PM ET
- Size
- 11.3 KB