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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Purchase Common Stock | $ 6.22 | 06/01/2005 | A(2) | 10,000 | 06/01/2006(3) | 06/01/2015 | Common Stock | 10,000 | $ 6.22 | 35,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HELMER MAUREEN O PLUG POWER INC. 968 ALBANY-SHAKER ROAD LATHAM, NY 12110 |
X |
/s/ David A. Neumann on behalf of Maureen O. Helmer | 06/03/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Maureen O. Helmer, a director of Plug Power, Inc. and partner at Cough White LLP, has assigned to Couch White LLP, pursuant to the terms of her employment, all of her pecuniary interest in the shares issued to her under Plug Power's Non-Employee Director Compensation Plan (including the sale or transfer of such shares) and disclaims beneficial ownership therein. |
(2) | Awarded pursuant to Plug Power's Non-Employee Director Compensation Plan |
(3) | Consists of an option to acquire common stock granted on June 1, 2005 with respect to which: 10,000 shares, with an exercise price equal to fair market value on the date of grant, fully vest on the first anniversary of the date of the grant. |