Roth Johannes Minho

SEC source: 0001104659-22-080193 · tm2220704-7_4seq1.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,633

F1 · kind: Compensation awarded to directors pursuant to Plug Power's Non-Employee Directors Compensation Plan.

SEC source: 0001104659-22-042734 · tm2211637-5_4seq1.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,894

F1 · kind: Compensation awarded to directors pursuant to Plug Power's Non-Employee Directors Compensation Plan.

SEC source: 0001104659-22-001510 · tm221646-5_4seq1.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,466

F1 · kind: Compensation awarded to directors pursuant to Plug Power's Non-Employee Directors Compensation Plan.

SEC source: 0001104659-21-123068 · tm2129304-5_4seq1.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,032

F1 · kind: Compensation awarded to directors pursuant to Plug Power's Non-Employee Directors Compensation Plan.

SEC source: 0001104659-21-107840 · tm2125370-5_4seq1.xml · derivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,482

Underlying: Common Stock · 4,482 shares

Expires 2031-08-16

F2 · security: Stock option granted pursuant to Plug Power's 2021 Stock Option and Incentive Plan in accordance with the Non-Employee Director Compensation Plan.

F3 · derivative.exercise_date: The options shall vest (100%) on the first anniversary of the grant date.

SEC source: 0001104659-21-107840 · tm2125370-5_4seq1.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,552

F1 · shares: Consists of a restricted stock award made pursuant to Plug Power's 2021 Stock Option and Incentive Plan in accordance with the Non-Employee Director Compensation Plan. The restricted stock vests (100%) on the first anniversary of the grant date.

SEC source: 0001104659-21-094572 · tm2122379-5_4seq1.xml · nonDerivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,070

F1 · kind: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan (the "Plan"). The issuance of common stock pursuant to the Plan was delayed due to the Issuer being delinquent in filing its periodic reports under the Securities Exchange Act of 1934, as amended, which reports have now been filed.

SEC source: 0001104659-21-094572 · tm2122379-5_4seq1.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,712

F1 · kind: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan (the "Plan"). The issuance of common stock pursuant to the Plan was delayed due to the Issuer being delinquent in filing its periodic reports under the Securities Exchange Act of 1934, as amended, which reports have now been filed.

SEC source: 0001104659-21-001692 · tm211870d8_4seq1.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,370

F1 · kind: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-126476 · a4.xml · derivative · entry 3

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,858,256 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.exercise_date: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.expiration_date: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126476 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,915,034

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126474 · a4.xml · nonDerivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.25 to $23.87. 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 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126474 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 693,911

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.25 to $23.24. 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 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-112290 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,112

F1 · kind: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001437749-20-014859 · rdgdoc.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,397

F1 · security: Represents restricted common stock that vests in two equal annual installments beginning on the first anniversary of the grant date, provided that the reporting person remains in continuous service with the issuer as of each vesting date.

SEC source: 0001104659-20-081201 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,460

F1 · kind: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-071535 · a4.xml · derivative · entry 3

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,807

Underlying: Common Stock · 12,807 shares

Expires 2030-06-05

F3 · derivative.exercise_date: The options vest (100%) on the first anniversary of the grant date .

SEC source: 0001104659-20-071535 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,394

F1 · shares: Consists of a restricted stock unit award made pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan. The restricted stock units vest (100%) on the first anniversary of the grant date.

SEC source: 0001104659-20-052372 · a4.xml · nonDerivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · price: 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.

F2 · ownership.nature: 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. Mr. 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. Mr. Roth disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-052372 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 552,529

F1 · price: 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 · ownership.nature: 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. Mr. 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. Mr. Roth disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-052371 · a4.xml · derivative · entry 4

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 923,819 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common Stock. The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common Stock. The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.exercise_date: On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common Stock. The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.expiration_date: On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common Stock. The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.nature: 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. Mr. 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. Mr. Roth disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-052371 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 951,479

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common Stock. The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's Common Stock. The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.nature: 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. Mr. 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. Mr. Roth disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-043131 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,587

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-001590 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,115

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-19-052987 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,346

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-19-039303 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,019

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001437749-19-012818 · rdgdoc.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,668

F1 · security: Represents restricted common stock that vests in two equal annual installments beginning on the first anniversary of the grant date, provided that the reporting person remains in continuous service with the issuer as of each vesting date.

SEC source: 0001104659-19-038779 · a4.xml · derivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,056

Underlying: Common Stock · 27,056 shares

Expires 2029-05-09

F2 · security: Options to purchase Common Stock granted in accordance with Plug Power's 2011 Non-Employee Directors Compensation Plan.

F3 · derivative.exercise_date: This option shall become fully vested on May 9, 2020.

SEC source: 0001104659-19-038779 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,130

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-19-019673 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,074

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-19-000808 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,428

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-18-060354 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,372

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001209191-18-047620 · doc4.xml · nonDerivative · entry 5

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,194

SEC source: 0001209191-18-047620 · doc4.xml · nonDerivative · entry 4

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,024

SEC source: 0001209191-18-047620 · doc4.xml · nonDerivative · entry 3

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,024

SEC source: 0001209191-18-047620 · doc4.xml · nonDerivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,674

SEC source: 0001209191-18-047620 · doc4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,424

SEC source: 0001209191-18-046420 · doc4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,024

F1 · security: Represents restricted common stock that vests 100% on August 9, 2019.

SEC source: 0001209191-18-044757 · doc4.xml · derivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis

F2 · derivative.exercise_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

F2 · derivative.expiration_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

SEC source: 0001209191-18-044757 · doc4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units convert into common stock on a one-for-one basis

SEC source: 0001104659-18-044029 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,627

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001209191-18-040778 · doc4.xml · derivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 1 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis

F2 · derivative.exercise_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

F2 · derivative.expiration_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

SEC source: 0001209191-18-040778 · doc4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units convert into common stock on a one-for-one basis

SEC source: 0001209191-18-034515 · doc4.xml · derivative · entry 3

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33

Underlying: Common Stock · 18 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis

F3 · derivative.exercise_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

F3 · derivative.expiration_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

SEC source: 0001209191-18-034515 · doc4.xml · nonDerivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 428

F2 · shares: The disposition represents the net settlement of shares upon the vesting of restricted stock units.

SEC source: 0001209191-18-034515 · doc4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 433

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units convert into common stock on a one-for-one basis

SEC source: 0001104659-18-034575 · a4.xml · derivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,621

Underlying: Common Stock · 29,621 shares

Expires 2028-05-16

F2 · security: Options to purchase Common Stock granted in accordance with Plug Power's 2011 Non-Employee Directors Compensation Plan.

F3 · derivative.exercise_date: This option shall become fully vested on May 16, 2019.

SEC source: 0001104659-18-034575 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,862

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001209191-18-027038 · doc4.xml · derivative · entry 3

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51

Underlying: Common Stock · 18 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis

F3 · derivative.exercise_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

F3 · derivative.expiration_date: On September 16, 2015, the reporting person was granted restricted stock units and options that will vest monthly for three years beginning July 29, 2015.

SEC source: 0001209191-18-027038 · doc4.xml · nonDerivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 415

F2 · shares: The disposition represents the net settlement of shares upon the vesting of restricted stock units.