UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. ________)*
PLUG POWER INC
(Name of Issuer)
Common Stock, no par value
(Title of Class of Securities)
72919P202
(CUSIP Number)
Interinvest Corporation
192 South Street, Suite 350
Boston, MA 02111
Attention: Stanley T. Schmidt
Telephone: (617-723-7870)
Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
October 7, 2011
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-
1(g), check the following box.
Note: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Rule.13d-7 for
other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of
the Act (however, see the Notes).
1. Names of Reporting Persons.
Interinvest Corporation Inc.
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
(b) x
3. SEC Use Only
4. Source of Funds (See Instructions)
OO
5. Check if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e)
6. Citizenship or Place of Organization
Massachusetts
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
7. Sole Voting Power 0
8. Shared Voting Power 1,216,588
9. Sole Dispositive Power 0
10. Shared Dispositive Power 1,216,588
|
11. Aggregate Amount Beneficially Owned by Each Reporting Person
1,216,588
12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
13. Percent of Class Represented by Amount in Row (11) 5.37%
14. Type of Reporting Person (See Instructions) IA
1. Names of Reporting Persons.
Interinvest Consulting Corporation of Canada Limited
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
(b) x
3. SEC Use Only
4. Source of Funds (See Instructions)
OO
5. Check if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e)
?
6. Citizenship or Place of Organization
Canada
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
7. Sole Voting Power 0
8. Shared Voting Power 83,100
9. Sole Dispositive Power 0
10. Shared Dispositive Power 83,100
|
11. Aggregate Amount Beneficially Owned by Each Reporting Person
83,100
12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
13. Percent of Class Represented by Amount in Row (11) 0.37%
14. Type of Reporting Person (See Instructions) IA
1. Names of Reporting Persons.
Interinvest (Bermuda) Ltd.
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
(b) x
3. SEC Use Only
4. Source of Funds (See Instructions)
OO
5. Check if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e)
6. Citizenship or Place of Organization
Bermuda
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
7. Sole Voting Power 0
8. Shared Voting Power 247,000
9. Sole Dispositive Power 0
10. Shared Dispositive Power 247,000
|
11. Aggregate Amount Beneficially Owned by Each Reporting Person
247,000
12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
?
13. Percent of Class Represented by Amount in Row (11) 1.09%
14. Type of Reporting Person (See Instructions) IA
1. Names of Reporting Persons.
Hans P. Black
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
(b) x
3. SEC Use Only
4. Source of Funds (See Instructions)
OO
5. Check if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e)
6. Citizenship or Place of Organization
Canada
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
7. Sole Voting Power 46,000
8. Shared Voting Power 1,546,688
9. Sole Dispositive Power 46,000
10. Shared Dispositive Power 1,546,688
|
11. Aggregate Amount Beneficially Owned by Each Reporting Person
1,592,688
12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
?
13. Percent of Class Represented by Amount in Row (11) 7.03%
14. Type of Reporting Person (See Instructions) IN
ITEM 1. SECURITY AND ISSUER
This statement relates to the Common Stock, no par value (the "Common
Stock"), of Plug Power Inc. (the "Issuer") with principal
executive offices located at 968 Albany Shaker Road, Latham, NY 12110.
ITEM 2. IDENTITY AND BACKGROUND
(a) The names of the persons filing this Schedule 13D are
Interinvest Corporation Inc., a Massachusetts corporation;
Interinvest (Bermuda) Ltd., a Bermuda corporation;
Interinvest Consulting Corporation of Canada Limited, a
Canadian corporation; and Hans P. Black, a citizen of
Canada. The foregoing persons are hereinafter sometimes
referred to collectively as the "Reporting Persons".
(b) The principal business address of Interinvest Corporation
Inc. is 192 South Street, Suite 350, Boston, MA 02111. The
principal business address of Interinvest (Bermuda) Ltd. is
LOM Building, 27 Reid Street, Hamilton HM 11, Bermuda. The principal
business address of Interinvest Consulting Corporation of
Canada Limited is 3655 rue Redpath, Montreal, QC H3G 2W8.
The principal business address of Hans P. Black is 3655 rue
Redpath, Montreal, QC H3G 2W8.
(c) The principal business of the Reporting Persons is the
furnishing of investment advisory services. The principal
occupation of Hans P. Black is serving as Chairman of
Interinvest Consulting Corporation of Canada Limited.
(d) During the last five years, none of the foregoing entities
have been convicted in a criminal proceeding.
(e) During the last five years, none of the foregoing entities
have been subject to a civil proceeding of the type
specified in Items 2(d) or (e) of Schedule 13D.
(f) Hans P. Black, a reporting person, is a citizen of Canada.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Since reporting in a SC 13D filing dated August 25, 2011, the Reporting
Persons have acquired an additional net quantity of 285,800 shares
of Common Stock of the Issuer for an aggregate purchase price of
approximately $495,441 or $1.73/share.The effect of these purchases has
been to increase the Reporting Persons' holdings of Common Stock of the
Issuer from 6.01% to 7.03%. The source of funds for such transactions
was derived from investment advisory client accounts and personal funds
of Dr. Hans Black.
ITEM 4. PURPOSE OF TRANSACTION
The Reporting Persons acquired the Common Stock of the Issuer for
investment purposes. The Reporting Persons have had, and from time to
time may continue to have discussions with management, other
shareholders, and third parties regarding matters relating to the
financial condition, strategy, business, assets, operations, capital
structure and strategic plans of the Issuer.
The Reporting Persons intend to review their investment in the Issuer on
a continuing basis. Depending on various factors, including the Issuer's
financial position and strategic direction, the outcome of the
discussions referenced above, actions taken by the Board of Directors of
the Issuer, price levels of the securities of the Issuer, other
investment opportunities available to the Reporting Persons, conditions
in the capital markets and general economic and industry conditions, the
Reporting Persons may in the future take such actions with respect to
their investments in the Issuer as they deem appropriate, including
purchasing additional securities of the Issuer, selling some or all of
the Reporting Persons' respective holdings in the Issuer and/or otherwise
changing their intention with respect to any and all matters referred to
in Item 4 of Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) The Reporting Persons beneficially own 1,592,688 shares of
Common Stock representing 7.03% of all of the outstanding shares of
Common Stock. The percentage set forth in this response is based on the
22,665,000 shares of Common Stock outstanding as of August 5, 2011, as
reported by the Issuer in its Quarterly Report on Form 10-Q for the
quarterly period ended June 30, 2011. Of the 1,546,688 shares purchased
by the Reporting Persons on behalf of their clients: Interinvest
Corporation Inc. purchased 1,216,588 shares or 5.37% of Issuer's
outstanding shares; Interinvest Consulting Corporation of Canada Limited
purchased 83,100 shares for a total of 0.37% of the Issuer's outstanding
shares; and Interinvest (Bermuda) Ltd. purchased 247,000 shares for
clients for a total of 1.09% of the Issuer's outstanding shares. Hans P.
Black purchased 40,000 shares or 0.18% of the Issuer's outstanding shares
for his own account and 6,000 shares or 0.03% for a related account under
his control.
(b) The Reporting Persons may be deemed to have the shared power to
vote or to direct the vote of (and the shared power to dispose of or
direct the disposition of) the 1,592,688 shares of Common Stock held.
This power is shared with the Reporting Persons' investment advisory
clients where applicable. Hans P. Black, by virtue of his relationship to
each of Interinvest Corporation Inc., Interinvest Consulting Corporation
of Canada Limited, and Interinvest (Bermuda) Ltd. may be deemed to
indirectly beneficially own 1,592,688 shares of Common Stock. Hans P.
Black disclaims beneficial ownership of such Common Stock for all other
purposes.
(c) The following describes all the transactions in Common Stock
that were effected during the past sixty days by the Reporting Persons,
some of which were previously reported in the SC 13D Filing of August 25,
2011:
Transaction Numberof Price/ Type of
Date Shares Cost Share Transaction
Interinvest Corporation Inc.
8/8/2011 20,000 $36,000 $1.80 Buy
8/9/2011 10,000 $15,548 $1.55 Buy
8/11/2011 43,500 $68,434 $1.57 Buy
8/12/2011 75,000 $122,959$1.64 Buy
8/15/2011 76,500 $136,414$1.78 Buy
8/16/2011 35,148 $63,340 $1.80 Buy
8/17/2011 33,600 $63,622 $1.89 Buy
8/18/2011 24,500 $42,489 $1.73 Buy
8/19/2011 20,000 $32,854 $1.64 Buy
8/22/2011 4,000 $6,369 $1.59 Buy
8/23/2011 50,000 $80,235 $1.60 Buy
8/24/2011 115,000 $197,328$1.72 Buy
8/25/2011 20,000 $34,112 $1.71 Buy
8/26/2011 10,000 $16,938 $1.69 Buy
8/29/2011 2,800 $4,746 $1.70 Buy
8/30/2011 20,000 $34,456 $1.72 Buy
8/31/2011 12,000 $21,760 $1.81 Buy
9/1/2011 31,000 $56,944 $1.84 Buy
9/2/2011 30,000 $53,847 $1.79 Buy
9/6/2011 20,000 $33,824 $1.69 Buy
9/8/2011 24,000 $43,274 $1.80 Buy
9/15/2011 20,000 $36,300 $1.82 Buy
9/19/2011 5,000 $9,382 $1.88 Buy
9/21/2011 10,000 $19,850 $1.99 Sell
9/23/2011 21,000 $36,897 $1.76 Buy
9/30/2011 12,000 $21,661 $1.81 Buy
10/5/2011 5,000 $8,364 $1.67 Buy
10/6/2011 36,000 $66,568 $1.85 Buy
10/7/2011 10,000 $19,128 $1.91 Buy
|
Interinvest (Bermuda) Ltd.
8/11/2011 42,000 $66,074 $1.57 Buy
8/16/2011 50,000 $90,105 $1.80 Buy
8/17/2011 85,000 $161,049$1.89 Buy
09/08/2011 5,000 $9,000 $1.80 Buy
|
Interinvest Consulting Corporation of Canada Limited
09/20/2011 14,000 $27,550 $1.97 Buy
09/27/2011 8,000 $14,653 $1.83 Buy
Dr. Hans P. Black
8/11/2011 19,500 $27,980 $1.43 Buy
(d) The investment advisory clients of Interinvest Corporation Inc.,
Interinvest Consulting Corporation of Canada Limited, and Interinvest
(Bermuda) Ltd. have the sole right to receive and the sole power to
direct the receipt of dividends from, and the proceeds of sale of,
any of the Securities beneficially owned by such Reporting Persons on
behalf of such clients. No such client has an interest that relates
to more than 5% of the Common Stock.
(e) Not applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
None of the shares of Common Stock held by the Reporting Persons have
been pledged or are otherwise subject to a contingency the occurrence of
which would give a third party voting power or investment power over the
Common Stock.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Exhibit 99.1 Joint Filing Agreement, dated as of December 12, 2008
among Interinvest Corporation Inc., Interinvest Consulting Corporation of
Canada Limited, Interinvest (Bermuda) Ltd., and Hans P. Black
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true,
complete and correct.
Date: October 11, 2011
Interinvest Corporation Inc.
By: /s/ Stanley T. Schmidt
Stanley T. Schmidt
President,Interinvest Corporation Inc.
|
Interinvest Corporation of Canada Limited
By: /s/ Hans P. Black
Hans P. Black
Chairman
|
Interinvest (Bermuda) Limited
By: /s/ Hans P. Black
Hans P. Black
Director
By: /s/ Hans P. Black
Hans P. Black
|
EXHIBIT 99.1
JOINT FILING AGREEMENT
In accordance with the Rule 13d-1(k)(1) under the Securities Exchange Act
of 1934, as amended, each of the undersigned hereby agrees to the joint
filing, along with all other such undersigned, on behalf of the Reporting
Persons (as defined in the joint filing), of a statement on Schedule D
(including amendments thereto) with respect to the common stock of the
Issuer (as defined in the attached Schedule 13D), and agrees that this
agreement be included as an exhibit to such joint filing. This agreement
may be executed in any number of counterparts, all of which taken
together shall constitute one and the same instrument.
IN WITNESS WHEREOF, each of the undersigned has executed this agreement
as of this 12th day of December, 2008.
Interinvest Corporation, Inc.
By: /s/ Stanley T. Schmidt
Stanley T. Schmidt
President
|
Interinvest Corporation of Canada Limited
By: /s/ Hans P. Black
Hans P. Black
Chairman
|
Interinvest (Bermuda) Limited
By: /s/ Hans P. Black
Hans P. Black
Director
By: /s/ Hans P. Black
Hans P. Black
|
CUSIP No. 034918102 Page 9 of 10
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