Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Avalo Therapeutics, Inc.CERC · Entity 4936 | Director | August 07, 2019 | October 03, 2019 |
| PLUG POWER INCPLUG · Entity 4258 | GM New Mkts & Pres New Prd Dv | August 19, 2022 | December 02, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Avalo Therapeutics, Inc.
Report date August 07, 2019 · Filed October 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.93 · Expires 2029-08-07 | Direct | 25,000 |
Reported balance
After 2019-08-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-08-07 · Grant · Acquired 25,000 · Balance 25,000 F1: The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.25 · Expires 2029-06-11 | Direct | 50,000 |
Reported balance
Holding disclosure · report date 2019-08-07 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 50,000 F2: The stock option will vest in three substantially equal installments on June 11, 2020, 2021 and 2022, provided the Reporting Person's continued service on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date.
F2: The stock option will vest in three substantially equal installments on June 11, 2020, 2021 and 2022, provided the Reporting Person's continued service on each such vesting date.
PLUG POWER INC
Report date August 19, 2022 · Filed December 02, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 447,638 |
Reported balance
After 2022-08-19 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-08-19 · Tax withholding · Disposed 39,274 · Balance 447,638 F1: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock award. F2: The initial grant of the restricted stock award was reported on a Form 4 filed on August 21, 2019, but was inadvertently disclosed as a restricted stock unit award instead of a restricted stock award. F3: Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of August 18, 2022, which is the date prior to the date withholding was effected. F4: The total Amount of Securities Beneficially Owned in Table I, Column 5 reflects the addition of 83,333 shares of the restricted stock award that was previously reported inadvertently on Table II as part of a grant of 250,000 restricted stock units on the Form 4 filed on August 21, 2019. |
| Common StockSEC Table I · non-derivative | Direct | 417,971 |
Reported balance
After 2022-09-28 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-09-28 · Tax withholding · Disposed 29,667 · Balance 417,971 F1: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock award. F5: Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of September 27, 2022, which is the date prior to the date withholding was effected. |
| Common StockSEC Table I · non-derivative | Indirect401(k) Plan | 44,797 |
Reported balance
Holding disclosure · report date 2022-08-19 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 44,797 F6: The Reporting Person holds 44,797 shares of common stock in Plug Power Inc.'s 401(k) plan. The information in this report is based on a plan statement as of November 14, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock award.
F2: The initial grant of the restricted stock award was reported on a Form 4 filed on August 21, 2019, but was inadvertently disclosed as a restricted stock unit award instead of a restricted stock award.
F3: Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of August 18, 2022, which is the date prior to the date withholding was effected.
F4: The total Amount of Securities Beneficially Owned in Table I, Column 5 reflects the addition of 83,333 shares of the restricted stock award that was previously reported inadvertently on Table II as part of a grant of 250,000 restricted stock units on the Form 4 filed on August 21, 2019.
F5: Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of September 27, 2022, which is the date prior to the date withholding was effected.
F6: The Reporting Person holds 44,797 shares of common stock in Plug Power Inc.'s 401(k) plan. The information in this report is based on a plan statement as of November 14, 2022.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 28, 2022 Filed Dec 2, 2022 23:44 UTC | PLUG POWER INC PLUG · Entity 4258 | Tax withholdingCommon Stock | 29,667 | $21.85 | $648,223.95 |
DisclosureSEC source: 0001104659-22-124245 · tm2231922-7_4seq1.xml · nonDerivative · entry 2 Schmidt Keith · CIK 0001389235 · GM New Mkts & Pres New Prd Dv 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417,971 F1 · kind: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock award. F5 · price: Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of September 27, 2022, which is the date prior to the date withholding was effected. Read SEC document |
| August 19, 2022 Filed Dec 2, 2022 23:44 UTC | PLUG POWER INC PLUG · Entity 4258 | Tax withholdingCommon Stock | 39,274 | $28.43 | $1,116,559.82 |
DisclosureSEC source: 0001104659-22-124245 · tm2231922-7_4seq1.xml · nonDerivative · entry 1 Schmidt Keith · CIK 0001389235 · GM New Mkts & Pres New Prd Dv 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,638 F1 · kind: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock award. F2 · kind: The initial grant of the restricted stock award was reported on a Form 4 filed on August 21, 2019, but was inadvertently disclosed as a restricted stock unit award instead of a restricted stock award. F3 · price: Pursuant to the Plug Power Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan, each share was tendered to Issuer at the price per share on the closing date of August 18, 2022, which is the date prior to the date withholding was effected. F4 · balance_after: The total Amount of Securities Beneficially Owned in Table I, Column 5 reflects the addition of 83,333 shares of the restricted stock award that was previously reported inadvertently on Table II as part of a grant of 250,000 restricted stock units on the Form 4 filed on August 21, 2019. Read SEC document |
| August 07, 2019 Filed Oct 3, 2019 18:28 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.93 | $0.00 |
DisclosureSEC source: 0001578563-19-000033 · primary_doc.xml · derivative · entry 1 Schmidt Keith · CIK 0001389235 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2029-08-07 F1 · derivative.exercise_date: The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date. Read SEC document |
| June 11, 2019 Filed Jun 12, 2019 16:16 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $5.25 | $0.00 |
DisclosureSEC source: 0001104659-19-035057 · a4.xml · derivative · entry 1 Schmidt Keith · CIK 0001389235 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-11 F1 · derivative.exercise_date: The grant shall vest one-third on each of the first, second and third anniversaries of the date of grant, provided the Reporting Person is then still providing continuous service as an employee, director or consultant. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.