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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series C Redeemable Convertible Preferred Stock | (1) | 01/26/2017 | S | 1,750 | 05/08/2014 | (2) | Common Stock, par value $0.01 per share | 1,858,257 | $ 1,253 | 3,481 | D | ||||
Series C Redeemable Convertible Preferred Stock | (1) | 01/26/2017 | S | 870 | 05/08/2014 | (2) | Common Stock, par value $0.01 per share | 923,819 | $ 1,253 | 2,611 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Air Liquide Investissements d'Avenir et de Demonstration 6, RUE COGNACQ JAY PARIS, I0 75007 |
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/s/ Eric Sebellin, Directeur de la Societe of Air Liquide Investissements d'Avenir et de Demonstration | 01/30/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This Form 4 reports the sale to two buyers of a total of 2,620 shares of Series C Redeemable Convertible Preferred Stock originally acquired on May 16, 2013. At the current conversion rate of 0.2343 per share, each share of Series C Redeemable Convertible Preferred Stock is convertible into 1,061.86086214255 shares of Common Stock. |
(2) | The Series C Redeemable Convertible Preferred Stock does not have an expiration date. |
Remarks: Xavier Pontone serves on the board of directors of Plug Power Inc. as the representative of Air Liquide Investissements d'Avenir et de Demonstration. |