Shrestha Sanjay K's Form 4 filing
Plug Power Inc (PLUG) · filed Jul 22, 2021
- Accession no.
- 0001104659-21-094883
- Filed
- Jul 22, 2021
- Trade date
- May 9-Jul 15, 2021
- Filing delay
- 74 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $162.1K. It was filed 74 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Shrestha Sanjay KCIK 0001775802 | Officer (Chief Strategy Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 9, 2021 | Common Stock | MOption exerciseAcquired | +50,000 | –F1 | – | 275,000 | Direct | |
| Jul 13, 2021 | Common Stock | SSaleDisposed | −5,700 | $28.43F3 | −$162,051 | 269,300 | Direct | |
| Jul 15, 2021 | Common Stock | FTax withholdingDisposed | −14,154 | $23.05 | −$326,249.7 | 255,146 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 9, 2021 | Common Stock | MOption exerciseDisposed | −50,000 | $0.00 | $0 | 50,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.19 to $28.70, inclusive. 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.
Referenced by the price of 1 transaction in Table I.