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POWER SOLUTIONS INTERNATIONAL, INC.

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5108
SEC CIK
0001137091
Parsed reports
228

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 23, 2024 Filed Jul 29, 2024 23:47 UTC SaleCommon Stock 5,795 $11.60 $67,222.00
Disclosure

SEC source: 0001493152-24-029487 · ownership.xml · nonDerivative · entry 1

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,311,808

Read SEC document
May 15, 2024 Filed May 24, 2024 23:49 UTC Exercise / conversionStock Appreciation Rights · Derivative 20,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0000950170-24-064844 · ownership.xml · derivative · entry 3

Xykis Constantine · CIK 0001852699 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2033-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: Stock Appreciation Rights granted on July 15, 2022, settled in Class A Common Stock and vesting on July 15, 2023.

F2 · derivative.underlying_shares: Stock Appreciation Rights granted on July 15, 2022, settled in Class A Common Stock and vesting on July 15, 2023.

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May 15, 2024 Filed May 24, 2024 23:49 UTC Tax withholdingClass A Common Stock 13,495 $4.49 $60,592.55
Disclosure

SEC source: 0000950170-24-064844 · ownership.xml · nonDerivative · entry 2

Xykis Constantine · CIK 0001852699 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,339

F1 · kind: The reporting person received 6,505 shares of common stock upon the net exercise of 20,000 stock appreciation rights ("SARs"). A total of 13,495 shares of common stock underlying such SARs were withheld in payment of the exercise price and to satisfy the withholding tax obligation resulting from the exercise.

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May 15, 2024 Filed May 24, 2024 23:49 UTC Exercise / conversionClass A Common Stock 20,000 $2.00 $40,000.00
Disclosure

SEC source: 0000950170-24-064844 · ownership.xml · nonDerivative · entry 1

Xykis Constantine · CIK 0001852699 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,834

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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April 30, 2024 Filed May 2, 2024 16:30 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 7,144 $2.00 $14,288.00
Disclosure

SEC source: 0001019056-24-000153 · gagnon.xml · nonDerivative · entry 6

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Limited Partner of the Family Partnership

Disclosed balance after: 121,024

Read SEC document
April 30, 2024 Filed May 2, 2024 16:30 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 5,007 $2.00 $10,014.00
Disclosure

SEC source: 0001019056-24-000153 · gagnon.xml · nonDerivative · entry 5

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 507,869

Read SEC document
April 30, 2024 Filed May 2, 2024 16:30 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 15,689 $2.00 $31,378.00
Disclosure

SEC source: 0001019056-24-000153 · gagnon.xml · nonDerivative · entry 4

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 502,862

Read SEC document
April 30, 2024 Filed May 2, 2024 16:30 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 1,089 $2.00 $2,178.00
Disclosure

SEC source: 0001019056-24-000153 · gagnon.xml · nonDerivative · entry 3

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan

Disclosed balance after: 23,437

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

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April 30, 2024 Filed May 2, 2024 16:30 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 6 $2.00 $12.00
Disclosure

SEC source: 0001019056-24-000153 · gagnon.xml · nonDerivative · entry 2

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan

Disclosed balance after: 22,348

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
April 30, 2024 Filed May 2, 2024 16:30 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 48,683 $2.00 $97,366.00
Disclosure

SEC source: 0001019056-24-000153 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 757,744

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

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April 25, 2024 Filed Apr 29, 2024 15:39 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 7,750 $2.00 $15,500.00
Disclosure

SEC source: 0001019056-24-000149 · gagnon.xml · nonDerivative · entry 2

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 709,061

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
March 25, 2024 Filed Apr 29, 2024 15:39 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 1,181 $2.00 $2,362.00
Disclosure

SEC source: 0001019056-24-000149 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 701,311

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

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March 22, 2024 Filed Mar 26, 2024 17:34 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 1,321 $2.00 $2,642.00
Disclosure

SEC source: 0001019056-24-000134 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 700,130

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

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March 20, 2024 Filed Mar 22, 2024 14:55 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 5,392 $2.00 $10,784.00
Disclosure

SEC source: 0001019056-24-000132 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 698,809

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
March 12, 2024 Filed Mar 15, 2024 13:03 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 1,817 $2.00 $3,634.00
Disclosure

SEC source: 0001019056-24-000128 · gagnon.xml · nonDerivative · entry 2

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 693,417

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

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March 01, 2024 Filed Mar 15, 2024 13:03 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 5,000 $2.00 $10,000.00
Disclosure

SEC source: 0001019056-24-000128 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 691,600

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 17:08 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 25,069 $1.95 $48,867.00
Disclosure

SEC source: 0001019056-24-000116 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 686,600

F1 · price: These shares were purchased in multiple transactions at prices ranging from $1.90 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
February 20, 2024 Filed Feb 22, 2024 16:05 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 976 $2.00 $1,952.00
Disclosure

SEC source: 0001019056-24-000103 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 661,531

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
February 12, 2024 Filed Feb 13, 2024 16:08 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 244 $1.97 $480.68
Disclosure

SEC source: 0001019056-24-000067 · gagnon.xml · nonDerivative · entry 2

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 660,555

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
February 09, 2024 Filed Feb 13, 2024 16:08 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 631 $2.00 $1,262.00
Disclosure

SEC source: 0001019056-24-000067 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 660,311

F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
January 24, 2024 Filed Jan 26, 2024 16:05 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 348 $1.87 $651.39
Disclosure

SEC source: 0001019056-24-000037 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan

Disclosed balance after: 22,342

F1 · price: These shares were purchased in multiple transactions at prices ranging from $1.80 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Read SEC document
December 21, 2023 Filed Jan 16, 2024 14:46 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-004427 · ownership.xml · nonDerivative · entry 1

Landini Kenneth W · CIK 0001517035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,000

F1 · shares: Represents Common Stock in the form of restricted stock granted under Issuer's 2012 Incentive Compensation Plan as amended and restated and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of December 21, 2023, between Issuer and Kenneth W Landini. Subject to certain conditions, 5,000 shares will vest on July 10, 2024.

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December 21, 2023 Filed Jan 16, 2024 14:43 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-004425 · ownership.xml · nonDerivative · entry 1

SIMPKINS FRANK P · CIK 0001353839 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

F1 · shares: Represents Common Stock in the form of restricted stock granted under Issuer's 2012 Incentive Compensation Plan as amended and restated and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of December 21, 2023, between Issuer and Frank P. Simpkins. Subject to certain conditions, 5,000 shares will vest on July 10, 2024.

Read SEC document
December 21, 2023 Filed Jan 16, 2024 14:39 UTC
He HongDirector
GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-004422 · ownership.xml · nonDerivative · entry 1

He Hong · CIK 0001791581 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,750

F1 · shares: Represents Common Stock in the form of restricted stock granted under Issuer's 2012 Incentive Compensation Plan as amended and restated and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of December 21, 2023, between Issuer and Hong He. Subject to certain conditions, 5,000 shares will vest on July 10, 2024.

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August 29, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 285 $3.01 $857.85
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 8

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 681

Read SEC document
August 29, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 100 $3.01 $300.50
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 7

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 966

Read SEC document
August 29, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 10,000 $3.00 $30,000.00
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 6

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 1,066

Read SEC document
August 25, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 10,000 $3.00 $30,000.00
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 5

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 11,066

Read SEC document
August 25, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 100 $3.00 $300.20
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 4

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 21,066

Read SEC document
August 25, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 9,310 $3.00 $27,930.00
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 3

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 21,166

Read SEC document
August 24, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 400 $3.00 $1,200.00
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 2

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 30,476

Read SEC document
August 24, 2023 Filed Sep 6, 2023 20:15 UTC SaleCommon Stock 9,600 $3.02 $28,944.00
Disclosure

SEC source: 0001493152-23-031824 · ownership.xml · nonDerivative · entry 1

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 30,876

Read SEC document
August 18, 2023 Filed Aug 23, 2023 22:16 UTC SaleCommon Stock 100 $3.05 $305.00
Disclosure

SEC source: 0001493152-23-030002 · ownership.xml · nonDerivative · entry 3

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 40,476

Read SEC document
August 16, 2023 Filed Aug 23, 2023 22:16 UTC SaleCommon Stock 100 $3.05 $305.00
Disclosure

SEC source: 0001493152-23-030002 · ownership.xml · nonDerivative · entry 2

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 40,576

Read SEC document
August 16, 2023 Filed Aug 23, 2023 22:16 UTC SaleCommon Stock 10,000 $3.00 $30,000.00
Disclosure

SEC source: 0001493152-23-030002 · ownership.xml · nonDerivative · entry 1

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 40,676

F1 · balance_after: Includes 40,000 shares held by the reporting person's spouse that were omitted from the reporting person's Form 4 filed on February 9, 2021, and each subsequent Form 4 filed thereafter.

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July 20, 2023 Filed Aug 7, 2023 21:41 UTC SaleCommon Stock 15,000 $3.15 $47,250.00
Disclosure

SEC source: 0001493152-23-027065 · ownership.xml · nonDerivative · entry 1

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 676

Read SEC document
May 24, 2023 Filed May 26, 2023 16:05 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 7,102 $2.85 $20,240.70
Disclosure

SEC source: 0001019056-23-000257 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 487,173

Read SEC document
April 26, 2023 Filed Apr 28, 2023 17:35 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 200 $2.95 $590.00
Disclosure

SEC source: 0001019056-23-000220 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 480,071

Read SEC document
April 25, 2023 Filed Apr 26, 2023 14:43 UTC GrantStock Appreciation Rights · Derivative 85,000 $0.00 Strike: $2.99 $0.00
Disclosure

SEC source: 0000899243-23-011712 · doc4.xml · derivative · entry 1

Xykis Constantine · CIK 0001852699 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,005

Underlying: Common Stock · 85,000 shares

Expires 2033-04-25

F1 · date: The Issuer granted the stock appreciation right (the "SAR") on April 25, 2023, pursuant to a Stock Appreciation Rights Agreement dated April 25, 2023, under the Issuer's 2012 Incentive Compensation Plan as amended and restated.

F2 · shares: The SAR vests and becomes exercisable in three equal installments on each of April 25, 2024, April 25, 2025, and April 25, 2026.

F2 · derivative.exercise_date: The SAR vests and becomes exercisable in three equal installments on each of April 25, 2024, April 25, 2025, and April 25, 2026.

F2 · derivative.underlying_shares: The SAR vests and becomes exercisable in three equal installments on each of April 25, 2024, April 25, 2025, and April 25, 2026.

Read SEC document
April 25, 2023 Filed Apr 26, 2023 14:37 UTC GrantStock Appreciation Rights · Derivative 16,663 $0.00 Strike: $2.99 $0.00
Disclosure

SEC source: 0000899243-23-011710 · doc4.xml · derivative · entry 1

Xykis Constantine · CIK 0001852699 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,005

Underlying: Common Stock · 16,663 shares

Expires 2033-04-25

F1 · date: The Issuer granted the stock appreciation right (the "SAR") on April 25, 2023, pursuant to a Stock Appreciation Rights Agreement dated April 25, 2023, under the Issuer's 2012 Incentive Compensation Plan as amended and restated.

F2 · shares: The SAR vests and becomes exercisable on April 25, 2024.

F2 · derivative.exercise_date: The SAR vests and becomes exercisable on April 25, 2024.

F2 · derivative.underlying_shares: The SAR vests and becomes exercisable on April 25, 2024.

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April 25, 2023 Filed May 4, 2023 17:19 UTC Amendment GrantStock Appreciation Rights · Derivative 85,000 $0.00 Strike: $2.99 $0.00
Disclosure

SEC source: 0000899243-23-012229 · doc4a.xml · derivative · entry 1

Xykis Constantine · CIK 0001852699 · See remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,505

Underlying: Common Stock · 85,000 shares

Expires 2023-04-25

F1 · date: The Issuer granted the stock appreciation rights (the "SARs") on April 25, 2023, pursuant to a Stock Appreciation Rights Agreement dated April 25, 2023, under the Issuer's 2012 Incentive Compensation Plan, as amended and restated.

F2 · shares: The SARs vest and become exercisable in three equal installments on each of April 25, 2024, April 25, 2025, and April 25, 2026.

F2 · derivative.exercise_date: The SARs vest and become exercisable in three equal installments on each of April 25, 2024, April 25, 2025, and April 25, 2026.

F2 · derivative.underlying_shares: The SARs vest and become exercisable in three equal installments on each of April 25, 2024, April 25, 2025, and April 25, 2026.

F3 · balance_after: This Form 4 is being amended to correct the total number of SARs owned by the Reporting Person, which was misreported as 147,005 total SARs and should have been reported as 148,505 total SARs. The total number of SARs owned by the Reporting Person has been inadvertently misreported by 1,500 since the Form 4 filed on March 25, 2021.

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January 26, 2023 Filed Jan 30, 2023 16:05 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 63 $3.00 $189.00
Disclosure

SEC source: 0001019056-23-000083 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 479,871

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January 11, 2023 Filed Jan 13, 2023 16:05 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 500 $3.00 $1,500.00
Disclosure

SEC source: 0001019056-23-000029 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 479,808

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January 10, 2023 Filed Jan 11, 2023 16:28 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 5,360 $3.00 $16,080.00
Disclosure

SEC source: 0001019056-23-000025 · gagnon.xml · nonDerivative · entry 2

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 479,308

Read SEC document
January 09, 2023 Filed Jan 11, 2023 16:28 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 5 $3.00 $15.00
Disclosure

SEC source: 0001019056-23-000025 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,948

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January 06, 2023 Filed Jan 9, 2023 16:06 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 872 $3.00 $2,616.00
Disclosure

SEC source: 0001019056-23-000019 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,943

Read SEC document
January 05, 2023 Filed Jan 9, 2023 16:06 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 5,000 $3.00 $15,000.00
Disclosure

SEC source: 0001019056-23-000019 · gagnon.xml · nonDerivative · entry 2

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,071

Read SEC document
January 03, 2023 Filed Jan 5, 2023 16:05 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 500 $3.00 $1,500.00
Disclosure

SEC source: 0001019056-23-000014 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 468,071

Read SEC document
December 09, 2022 Filed Dec 13, 2022 19:05 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 256 $3.00 $768.00
Disclosure

SEC source: 0001019056-22-000683 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467,571

Read SEC document
December 02, 2022 Filed Dec 5, 2022 16:12 UTC
Gagnon Neil10% owner
PurchaseCommon Stock, par value $0.001 per share 352 $3.00 $1,056.00
Disclosure

SEC source: 0001019056-22-000681 · gagnon.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467,301

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.