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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Option to Purchase Common Stock | $ 15 | 10/29/1999 | Â | A4 | 15,000 (1) | Â | 10/29/2000 | 10/29/2009 | Common Stock | $ 0 | 245,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 15 | 10/29/1999 | Â | A4 | 15,000 (4) | Â | 10/29/2000 | 10/29/2009 | Common Stock | $ 0 | 260,000 | See Footnote (4) | ||
Option to Purchase Common Stock | $ 15 | 10/29/1999 | Â | A4 | 10,000 (1) | Â | 10/29/2000 | 10/29/2009 | Common Stock | $ 0 | 270,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 15 | 10/29/1999 | Â | A4 | 10,000 (4) | Â | 10/29/2000 | 10/29/2009 | Common Stock | $ 0 | 280,000 | See Footnote (4) | ||
Option to Purchase Common Stock | $ 56.88 | 01/12/2000 | Â | A4 | 5,000 (4) | Â | 01/12/2001 | 01/12/2010 | Common Stock | $ 0 | 285,000 | See Footnote (4) | ||
Option to Purchase Common Stock | $ 44.5 | 05/24/2000 | Â | A4 | 10,000 (1) | Â | 05/24/2001 | 05/24/2010 | Common Stock | $ 0 | 295,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 44.5 | 05/24/2000 | Â | A4 | 10,000 (4) | Â | 05/24/2001 | 05/24/2010 | Common Stock | $ 0 | 305,000 | See Footnote (4) | ||
Option to Purchase Common Stock | $ 24.53 | 05/16/2001 | Â | A4 | 10,000 (1) | Â | 05/16/2002 | 05/16/2011 | Common Stock | $ 0 | 315,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 24.53 | 05/16/2001 | Â | A4 | 10,000 (4) | Â | 05/16/2002 | 05/16/2011 | Common Stock | $ 0 | 325,000 | See Footnote (4) | ||
Option to Purchase Common Stock | $ 24.53 | 05/16/2001 | Â | A4 | 5,000 (4) | Â | 05/16/2002 | 05/16/2011 | Common Stock | $ 0 | 330,000 | See Footnote (4) | ||
Option to Purchase Common Stock | $ 10.23 | 05/16/2002 | Â | A4 | 10,000 (1) | Â | 05/22/2003 | 05/16/2012 | Common Stock | $ 0 | 340,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 5.02 | 05/22/2003 | Â | A4 | 10,000 (1) | Â | 05/20/2004 | 05/22/2013 | Common Stock | $ 0 | 350,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 7.5 | 05/20/2004 | Â | A4 | 12,000 (1) | Â | 05/18/2005 | 05/20/2014 | Common Stock | $ 0 | 362,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 6.22 | 06/01/2005 | Â | A4 | 12,000 (1) | Â | Â (5) | 06/01/2015 | Common Stock | $ 0 | 374,000 | See Footnote (1) | ||
Option to Purchase Common Stock | $ 5.76 | 11/07/2005 | Â | A4 | 15,000 (6) | Â | 11/07/2005 | 11/07/2015 | Common Stock | $ 0 | 389,000 | See Footnote (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DTE ENERGY CO 2000 2ND AVENUE DETROIT, MI 48226-1279 |
 |  X |  |  |
/s/Teresa M. Sebastian Assistant Corporate Secretary | 02/14/2006 | |
**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) | Anthony F. Earley, Jr., a former director of Plug Power, Inc. and President and Chief Executive Officer of DTE Energy, has assigned to DTE Energy pursuant to the terms of his employment, all of his pecuniary interest in the stock options granted to him under Plug Power's 1999 Stock Option and Incentive Plan and the shares issued to him under Plug Power's Non-Employee Director Compensation Plan (including the power to direct the exercise of such options and the sale or transfer of such shares). Upon exercise of the options, Mr. Earley will assign the shares acquired to DTE Energy. |
(2) | The gift of stock did not involve payment of consideration by the recipient of the gift. |
(3) | The shares are held by DTE Energy Ventures, Inc., a wholly-owned subsidiary of DTE Energy Company. |
(4) | Larry G. Garberding, a director of Plug Power, Inc. and the retired Vice President and Chief Financial Officer of DTE Energy, has assigned to DTE Energy pursuant to the terms of his employment, all of his pecuniary interest in the stock options granted to him under Plug Power's 1999 Stock Option and Incentive Plan and the shares issued to him under Plug Power's Non-Employee Director Compensation Plan (including the power to direct the exercise of such options and the sale or transfer of such shares) while serving as an employee of DTE Energy. Upon exercise of the options, Mr. Garberding will assign the shares acquired to DTE Energy. |
(5) | Consists of an option to acquire common stock granted on June 1, 2005 with respect to 12,000 shares, with an exercise price equal to fair market value on the date of grant. The option fully vests on the date of Plug Power, Inc.'s annual meeting in year 2006. |
(6) | Robert J. Buckler, Jr., a director of Plug Power Inc. and Group President of DTE Energy, has assigned to DTE Energy pursuant to the terms of his employment, all of his pecuniary interest in the stock options granted to him under Plug Power's 1999 Stock Option and Incentive Plan and the shares issued to him under Plug Power's Non-Employee Director Compensation Plan (including the power to direct the exercise of such options and the sale or transfer of such shares). Upon exercise of the options, Mr. Buckler will assign the shares acquired to DTE Energy. |