4//SEC Filing
FiveT Capital Holding AG 4
Accession 0001104659-20-052374
CIK 0001093691other
Filed
Apr 27, 8:00 PM ET
Accepted
Apr 28, 4:01 PM ET
Size
9.3 KB
Accession
0001104659-20-052374
Insider Transaction Report
Form 4
PLUG POWER INCPLUG
FiveT Capital Holdings AG
Director
Transactions
- Sale
Common Stock
2020-04-22$4.33/sh−398,950$1,726,137→ 552,529 total(indirect: See Footnote) - Sale
Common Stock
2020-04-23$4.35/sh−552,529$2,402,120→ 0 total(indirect: See Footnote)
Holdings
- 55,638
Common Stock
Footnotes (4)
- [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.
Documents
Issuer
PLUG POWER INC
CIK 0001093691
Entity typeother
IncorporatedSwitzerland
Related Parties
1- filerCIK 0001697007
Filing Metadata
- Form type
- 4
- Filed
- Apr 27, 8:00 PM ET
- Accepted
- Apr 28, 4:01 PM ET
- Size
- 9.3 KB