PLUG POWER INC 4

Accession 0001181431-04-008700

$PLUGCIK 0001093691operating

View on SEC.gov Company Profile

Filed

Feb 11, 7:00 PM ET

Accepted

Feb 12, 4:23 PM ET

Size

23.0 KB

Accession

0001181431-04-008700

Insider Transaction Report

Form 4

Period: 2004-02-10

PLUG POWER INCPLUG

NEUMANN DAVID A

Chief Financial Officer

Transactions

Award
Employee Stock Option
2004-02-10$9.20/sh−18,500$170,200→ 51,979 total
Exercise: $9.20Exp: 2014-02-10→ Common Stock (18,500 underlying)
Award
Plug Power Inc. Common Stock
2004-02-10+4,967→ 18,967 total
Disposition to Issuer
Employee Stock Option
2003-06-20$11.00/sh−14,000$154,000→ 9,563 total
Exercise: $11.00Exp: 2009-07-26→ Common Stock (14,000 underlying)
Disposition to Issuer
Employee Stock Option
2003-06-20$83.50/sh−18,000$1,503,000→ 9,563 total
Exercise: $83.50Exp: 2010-01-28→ Common Stock (18,000 underlying)
Award
Employee Stock Option
1997-12-31$1.00/sh−2,000$2,000→ 2,000 total
Exercise: $1.00Exp: 2007-12-31→ Common Stock (2,000 underlying)
Award
Employee Stock Option
1998-10-18$5.00/sh−3,000$15,000→ 5,000 total
Exercise: $5.00Exp: 2008-10-18→ Common Stock (3,000 underlying)
Award
Employee Stock Option
1999-01-18$5.00/sh−4,563$22,815→ 9,563 total
Exercise: $5.00Exp: 2009-01-18→ Common Stock (4,563 underlying)
Disposition to Issuer
Employee Stock Option
2003-06-20$17.94/sh−10,000$179,400→ 9,563 total
Exercise: $17.94Exp: 2011-01-11→ Common Stock (10,000 underlying)
Award
Employee Stock Option
2001-11-14$8.53/sh−23,916$204,003→ 33,479 total
Exercise: $8.53Exp: 2011-11-14→ Common Stock (23,916 underlying)

Footnotes (8)

[F1]Includes 14,000 restricted shares of Plug Power common stock (the "Shares") pursuant to Plug Power Inc.'s (the "Company") offer to exchange (the "Offer") in accordance with Rule 13e-4 promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Offer commenced on May 22, 2003 and expired on June 20, 2003. The Shares vest in three equal installments 21 months, 24 months and 27 months after June 20, 2003. Prior to vesting, the Shares are subject to forfeiture in the event that Mr. Neumann's employment with the Company is terminated.
[F2]Consists of options to acquire common stock granted on December 31, 1997, all of which are exercisable.
[F3]Consists of options to acquire common stock granted on October 18, 1998, all of which are exercisable
[F4]Consists of options to acquire common stock granted on January 18, 1999, all of which are exercisable.
[F5]Cancellation of stock options pursuant to the Offer in accordance with Rule 13e-4 promulgated under the Exchange Act.
[F6]The stock options vest as follows: 8,618 shares became exercisable on November 14, 2001; 8,618 shares became exercisable on November 14, 2003; 8,680 shares become exercisable on November 14, 2004.
[F7]The stock options vest as follows: 6,166 shares become exercisable on August 10, 2004; 6,166 shares become exercisable on February 10, 2005; 6,167 shares become exercisable on August 10, 2005.
[F8]The grant of restricted stock vests as follows: 1,655 shares vest on August 10, 2004; 1,656 shares vest on February 10, 2005; 1,656 shares vest on August 10, 2005. Prior to vesting, the shares are subject to forfeiture in the event that Mr. Neumann's employment with The Company is terminated.

Documents

1 file

4
rrd32610.xmlPrimary
FORM 4 FEBRUARY 11, 2004

Issuer

PLUG POWER INC

CIK 0001093691

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001093691

Filing Metadata

Form type: 4
Filed: Feb 11, 7:00 PM ET
Accepted: Feb 12, 4:23 PM ET
Size: 23.0 KB

View on SEC.gov