Roth Johannes Minho 4
4 · PLUG POWER INC · Filed Nov 17, 2020
Insider Transaction Report
Form 4
PLUG POWER INCPLUG
Roth Johannes Minho
Director
Transactions
- Conversion
Common Stock
2020-11-13+1,858,256→ 1,915,034 total(indirect: See Footnote) - Conversion
Series C Redeemable Convertible Preferred Stock
2020-11-13−1,750→ 0 total(indirect: See Footnote)→ Common Stock (1,858,256 underlying)
Holdings
- 227,112
Common Stock
Footnotes (2)
- [F1]On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "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 FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, 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.