Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-20-052374
Date:2020-04-22
Issuer: PLUG POWER INC (PLUG)
Original Submission Date:

Reporting Person:

FIVET CAPITAL HOLDING AG
C/O RABER TREUHAND GMBH
CHURERSTRASSE 98 PFAFFIKON, V8 8808

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-04-22 S 398,950 d $4.33 552,529 indirect
COMMON STOCK 2020-04-23 S 552,529 d $4.35 0 indirect
COMMON STOCK 2020-04-22 0 $0.00 55,638 f4 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 on april 22, 2020, five more special situations fund ltd. ("five more fund") sold 398,950 shares of the issuer's common stock. the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $4.28 to $4.42. the reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote
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. johannes minho 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. each of fivet capital holding and fivet capital disclaims beneficial ownership of the shares of common stock, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that it is the beneficial owner of any of such shares.
f3 on april 23, 2020, five more fund sold 552,529 shares of the issuer's common stock. the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $4.28 to $4.405. the reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f4 the shares are held by fivet capital holding.
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