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PLUG POWER INC (PLUG) COO receives new multi-year stock option awards

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

PLUG POWER INC's Chief Operating Officer, Dean Fullerton, received two new stock option awards. One option covers 414,508 shares of common stock at an exercise price of $2.83 per share, and the other covers 408,163 shares at an exercise price of $2.57 per share.

Both options were granted at no cost on the grant date and expire on June 25, 2036. According to the award terms, the underlying shares for each option vest in three equal annual installments following the grant date, provided Fullerton continues in service on each vesting date.

Positive

  • None.

Negative

  • None.
Insider Fullerton Dean
Role Chief Operating Officer
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 408,163 $0.00 --
Grant/Award Stock Option (Right to Buy) 414,508 $0.00 --
Holdings After Transaction: Stock Option (Right to Buy) — 408,163 shares (Direct, null)
Footnotes (1)
  1. Awarded pursuant to Plug Power Inc.'s 2021 Stock Option and Incentive Plan, as amended. The shares underlying this stock option shall vest in three equal annual installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.
Option grant 1 size 414,508 options Stock Option (Right to Buy) at $2.83 exercise price
Option grant 1 exercise price $2.83 per share Conversion or exercise price for 414,508 underlying shares
Option grant 2 size 408,163 options Stock Option (Right to Buy) at $2.57 exercise price
Option grant 2 exercise price $2.57 per share Conversion or exercise price for 408,163 underlying shares
Expiration date for both grants June 25, 2036 Expiration date of each stock option award
Vesting schedule 3 equal annual installments Underlying shares vest annually after grant, subject to continued service
Shares following transaction (grant 1) 414,508 derivative shares Total options held after first grant transaction
Shares following transaction (grant 2) 408,163 derivative shares Total options held after second grant transaction
Stock Option (Right to Buy) financial
"security_title: Stock Option (Right to Buy)"
2021 Stock Option and Incentive Plan financial
"Awarded pursuant to Plug Power Inc.'s 2021 Stock Option and Incentive Plan, as amended."
underlying security shares financial
"underlying_security_shares: 414508.0000 and 408163.0000"
vest in three equal annual installments financial
"The shares underlying this stock option shall vest in three equal annual installments"
expiration date financial
"expiration_date: 2036-06-25T00:00:00.000Z"
The expiration date is the deadline after which a financial contract, such as an option or a futures agreement, is no longer valid or can be exercised. It matters to investors because it determines the timeframe during which they can take action or benefit from the contract, similar to how a coupon or a food item has a limited period of usefulness. Once the expiration date passes, the contract loses its value or ability to be used.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Fullerton Dean
(Last)(First)(Middle)
C/O PLUG POWER INC.
125 VISTA BOULEVARD
(Street)
SLINGERLANDS NEW YORK 12159
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
PLUG POWER INC [ PLUG ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Operating Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/25/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)(1)$2.5706/25/2026A408,163 (2)06/25/2036Common Stock408,163$0.00408,163D
Stock Option (Right to Buy)(1)$2.8306/25/2026A414,508 (2)06/25/2036Common Stock414,508$0.00414,508D
Explanation of Responses:
1. Awarded pursuant to Plug Power Inc.'s 2021 Stock Option and Incentive Plan, as amended.
2. The shares underlying this stock option shall vest in three equal annual installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.
/s/ Gerard L. Conway, Jr., Attorney-in-Fact06/29/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did PLUG POWER INC COO Dean Fullerton report on this Form 4?

Dean Fullerton reported receiving two stock option grants from PLUG POWER INC. The awards cover 414,508 shares at $2.83 and 408,163 shares at $2.57, providing future rights to buy common stock if vesting and exercise conditions are met.

How many PLUG stock options were granted to Dean Fullerton in this filing?

The filing shows two separate stock option grants. One option covers 414,508 underlying shares of PLUG common stock and the other covers 408,163 underlying shares, each recorded as newly awarded derivative positions held directly by the reporting person.

What are the exercise prices of Dean Fullerton’s PLUG stock options?

The stock options have fixed exercise prices. One option allows purchase of PLUG common stock at $2.83 per share, while the second option permits purchase at $2.57 per share, if exercised after vesting and before expiration.

When do Dean Fullerton’s new PLUG stock options expire?

Both stock option awards reported in the Form 4 share the same expiration date. Each option expires on June 25, 2036, giving a long-term window for potential exercise once the underlying shares vest over time.

How do the PLUG stock options granted to Dean Fullerton vest?

The options vest over three years. The shares underlying each stock option vest in three equal annual installments following the grant date, as long as Dean Fullerton continues in service on each scheduled vesting date under the plan.

Under which plan were Dean Fullerton’s PLUG stock options granted?

The options were issued under Plug Power Inc.'s 2021 Stock Option and Incentive Plan, as amended. This plan governs equity-based compensation awards, including the vesting terms and conditions applicable to the stock options granted to the Chief Operating Officer.