UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to Purchase | Â (2) | 11/14/2011 | Common Stock | 4,121 | $ 8.53 | D | Â |
Option to Purchase | Â (3) | 12/22/2013 | Common Stock | 8,000 | $ 6.73 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Conway Gerard L JR C/O PLUG POWER INC. 968 ALBANY-SHAKER ROAD LATHAM, NY 12110 |
 |  |  General Counsel |  |
/s/ Gerard L Conway Jr | 01/04/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Includes 1,183 restricted shares of Plug Power common stock (the "shares"). The Shares vest in three equal installments on March 20, 2005, June 20, 2005 and September 20, 2005. Prior to vesting, the Shares are subject to forfeiture in the event that Mr. Conway's employment with the Company is terminated. |
(2) | Consists of options to acquire common stock granted on 11/14/2001, all of which are exercisable. |
(3) | Consists of options to acquire common stock granted on 12/23/2003, with respect to which 5,334 are exercisable; 2667 shares become exercisable on 6/22/05. |