| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL 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 | | OMB APPROVAL | | OMB Number: | 3235-0104 | | Expires: | February 28, 2011 | | Estimated average burden | | hours per response | 0.5 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year)
10/28/2009 | 3. Issuer Name and Ticker or Trading Symbol
PLUG POWER INC
[PLUG]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable) | Director | | 10% Owner | | X | Officer (give title below) | | Other (specify below) | | VP & GM, Motive Power Div |
| 5. If Amendment, Date of Original Filed (Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
| 2.
Amount of Securities Owned (Instr.
4)
| 3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
| 4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
|---|
|
Plug Power Common Stock
|
1,000
|
D
| |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
|---|
| 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 Excercise Price of Derivative Security
| 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)
| 6. Nature of Indirect Beneficial Ownership (Instr. 5)
|
|---|
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
|---|
|
Options to Purchase Common Stock
| 12/28/2008 | 10/29/2018 |
Plug Power Common Stock
|
50,000
|
$
0.86
|
D
| |
|
Options to Purchase Common Stock
| 05/20/2010 | 05/20/2019 |
Plug Power Common Stock
|
2,500
|
$
0.95
|
D
| |
| Explanation of Responses: |
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| /s/ Gerard L. Conway, Jr., Attorney in Fact | 11/03/2009 |
| ** Signature of Reporting Person | Date |
| 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 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).
|
| 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. |
lingsLIMITED POWER OF ATTORNEY
FOR
SECTION 16(a) FILINGS
Know all by these presents, that the undersigned
hereby constitutes and appoints each of
Gerard L. Conway, Jr. and Gerald A. Anderson
signing singly, the undersigned's only true and
lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned,
in the undersigned's capacity as an officer,
director and/or stockholder of Plug Power Inc.
(the Company), Forms 3, 4, and 5 and
amendments thereto in accordance with Section 16(a)
of the Securities Exchange Act of 1934
and the rules thereunder;
(2) do and perform any and all acts for and on behalf
of the undersigned which may be necessary
or desirable to complete and execute any such
Form 3, 4, or 5 and any amendments thereto and
timely file such forms with the United States
Securities and Exchange Commission and any
stock exchange or similar authority; and
(3) take any other action of any type whatsoever which,
in the opinion of such attorney-
in-fact, may be necessary or desirable in connection
with the foregoing authority, it
being understood that the documents executed by such
attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney
shall be in such form and shall contain
such terms and conditions as such attorney-in-fact
may approve in such attorney-in-fact's
discretion. The undersigned hereby grants to each such
attorney-in-fact full power and authority to do and
perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the
exercise of any of the rights and powers herein granted,
as fully to all intents and purposes as the
undersigned might or could do if personally present,
with full power of substitution or
revocation, hereby ratifying and confirming all that
such attorney-in-fact, or such attorney-in-fact's
substitute or substitutes, shall lawfully do or cause
to be done by virtue of this Power of
Attorney and the rights and powers herein granted.
The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such
capacity at the request of the undersigned, are
not assuming, nor is the Company assuming, any of
the undersigned's responsibilities to comply with
Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and
effect until the undersigned is no longer
required to file Forms 3, 4, and 5 with respect
to the undersigned's holdings of and transactions
in securities issued by the Company, unless earlier
revoked by the undersigned in a signed
writing delivered to the Company.
This Power of Attorney may be filed with the SEC as a
confirming statement of the authority granted herein.
IN WITNESS WHEREOF, the undersigned has caused this
Power of Attorney to be
executed as of this 28th day of October 2009.
/s/ Erik J. Hansen
Erik J. Hansen