PSIX

SEC source: 0000899243-19-013664 · doc4.xml · nonDerivative · entry 2

Winemaster Kenneth J · CIK 0001517041 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,211,274

F1 · kind: Represents deemed disposition of shares of common stock to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock.

SEC source: 0000899243-18-029859 · doc4.xml · nonDerivative · entry 1

Landini Kenneth W · CIK 0001517035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,000

F1 · shares: Represents Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2018, between Power Solutions International, Inc. and Kenneth W. Landini. Subject to certain conditions, 5,000 shares will vest on July 10, 2019.

SEC source: 0000899243-18-029860 · doc4.xml · nonDerivative · entry 1

SIMPKINS FRANK P · CIK 0001353839 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2018, between Power Solutions International, Inc. and Frank P Simpkins. Subject to certain conditions, 5,000 shares will vest on July 13, 2019.

SEC source: 0000899243-18-029858 · doc4.xml · nonDerivative · entry 1

Lin Jason C. · CIK 0001707473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2018, between Power Solutions International, Inc. and Jason C. Lin. Subject to certain conditions, 5,000 shares will vest on July 10, 2019.

SEC source: 0000899243-18-029856 · doc4.xml · nonDerivative · entry 1

Coolidge Leslie Anne · CIK 0001712560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2018, between Power Solutions International, Inc. and Leslie Anne Coolidge. Subject to certain conditions, 5,000 shares will vest on July 13, 2019.

SEC source: 0000899243-18-027171 · doc4.xml · nonDerivative · entry 1

AVERY CHARLES F JR · CIK 0001206030 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,155

F1 · kind: Represents deemed disposition of shares of common stock to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock.

SEC source: 0000899243-18-026647 · doc4.xml · nonDerivative · entry 1

AVERY CHARLES F JR · CIK 0001206030 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · shares: Represents Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of October 10, 2018, between Power Solutions International, Inc. and Charles F. Avery, Jr. 15,000 shares vested on the date of grant and 15,000 shares will vest on the second anniversary of his start date of July 31, 2017.

SEC source: 0000899243-18-026509 · doc4.xml · nonDerivative · entry 1

Sun Shaojun · CIK 0001736309 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On November 10, 2017, the reporting person was granted 5,000 shares of common stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan pursuant to a Restricted Stock Agreement, as reported in a Form 4 filed by the reporting person on April 9, 2018. In accordance with Weichai America Corp.'s internal policies, the reporting person cannot accept the Issuer's stock as compensation for serving on the Issuer's Board of Directors. The grant was mutually rescinded on October 8, 2018. Both the grant and the mutual rescission were approved by the Issuer's Board of Directors in accordance with Commission Rule 16b-3(d)(1).

F1 · price: On November 10, 2017, the reporting person was granted 5,000 shares of common stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan pursuant to a Restricted Stock Agreement, as reported in a Form 4 filed by the reporting person on April 9, 2018. In accordance with Weichai America Corp.'s internal policies, the reporting person cannot accept the Issuer's stock as compensation for serving on the Issuer's Board of Directors. The grant was mutually rescinded on October 8, 2018. Both the grant and the mutual rescission were approved by the Issuer's Board of Directors in accordance with Commission Rule 16b-3(d)(1).

SEC source: 0000899243-18-026501 · doc4.xml · nonDerivative · entry 1

Jiang Kui · CIK 0001736349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On November 10, 2017, the reporting person was granted 5,000 shares of common stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan pursuant to a Restricted Stock Agreement, as reported in a Form 4 filed by the reporting person on April 9, 2018. In accordance with Weichai America Corp.'s internal policies, the reporting person cannot accept the Issuer's stock as compensation for serving on the Issuer's Board of Directors. The grant was mutually rescinded on October 8, 2018. Both the grant and the mutual rescission were approved by the Issuer's Board of Directors in accordance with Commission Rule 16b-3(d)(1).

F1 · price: On November 10, 2017, the reporting person was granted 5,000 shares of common stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan pursuant to a Restricted Stock Agreement, as reported in a Form 4 filed by the reporting person on April 9, 2018. In accordance with Weichai America Corp.'s internal policies, the reporting person cannot accept the Issuer's stock as compensation for serving on the Issuer's Board of Directors. The grant was mutually rescinded on October 8, 2018. Both the grant and the mutual rescission were approved by the Issuer's Board of Directors in accordance with Commission Rule 16b-3(d)(1).

SEC source: 0000899243-18-017164 · doc4.xml · derivative · entry 1

Klein Donald P · CIK 0001741664 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-05-04

F1 · date: The Issuer granted the stock appreciation right (the "SAR") on May 4, 2018 (the "Grant Date"), pursuant to a Stock Appreciation Rights Agreement dated June 19, 2018, under the Issuer's 2012 Incentive Compensation Plan.

F2 · shares: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date.

F2 · derivative.exercise_date: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date.

F2 · derivative.underlying_shares: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date.

F2 · balance_after: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date.

SEC source: 0000899243-19-013664 · doc4.xml · nonDerivative · entry 1

Winemaster Kenneth J · CIK 0001517041 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,218,173

F1 · kind: Represents deemed disposition of shares of common stock to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock.

SEC source: 0001382963-17-000184 · edgar.xml · derivative · entry 2

Weichai America Corp. · CIK 0001702521 · 10% owner

Weichai Power Co., Ltd. · CIK 0001703367 · 10% owner

Shandong Heavy Industry Group Co., Ltd. · CIK 0001703252 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 4,771,248 shares

Expires not disclosed

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 · derivative.exercise_price: On November 30, 2017, the Issuer entered into a Securities Exchange Agreement with Weichai America Corp., pursuant to which (i) the 2,385,624 shares of Series B Preferred Stock (such shares of Series B Preferred Stock being convertible into two shares of Common Stock for each share of Series B Preferred Stock) held by Weichai America Corp. were exchanged for 4,771,248 shares of Common Stock and (ii) the 2018 Warrant was amended (the "Amended 2018 Warrant") to (a) provide that the Amended 2018 Warrant is exercisable for Common Stock without the requirement to obtain stockholder approval and is not exercisable for Series B Preferred Stock and (b) permit the Issuer to request the accelerated exercise of the Amended 2018 Warrant to the extent required to meet the funding needs of the Issuer. Other terms of the Amended 2018 Warrant as described in the Form 3 filed with the Securities and Exchange Commission by the Reporting Persons on April 10, 2017 remain the same.

F2 · price: On November 30, 2017, the Issuer entered into a Securities Exchange Agreement with Weichai America Corp., pursuant to which (i) the 2,385,624 shares of Series B Preferred Stock (such shares of Series B Preferred Stock being convertible into two shares of Common Stock for each share of Series B Preferred Stock) held by Weichai America Corp. were exchanged for 4,771,248 shares of Common Stock and (ii) the 2018 Warrant was amended (the "Amended 2018 Warrant") to (a) provide that the Amended 2018 Warrant is exercisable for Common Stock without the requirement to obtain stockholder approval and is not exercisable for Series B Preferred Stock and (b) permit the Issuer to request the accelerated exercise of the Amended 2018 Warrant to the extent required to meet the funding needs of the Issuer. Other terms of the Amended 2018 Warrant as described in the Form 3 filed with the Securities and Exchange Commission by the Reporting Persons on April 10, 2017 remain the same.

F2 · derivative.exercise_date: On November 30, 2017, the Issuer entered into a Securities Exchange Agreement with Weichai America Corp., pursuant to which (i) the 2,385,624 shares of Series B Preferred Stock (such shares of Series B Preferred Stock being convertible into two shares of Common Stock for each share of Series B Preferred Stock) held by Weichai America Corp. were exchanged for 4,771,248 shares of Common Stock and (ii) the 2018 Warrant was amended (the "Amended 2018 Warrant") to (a) provide that the Amended 2018 Warrant is exercisable for Common Stock without the requirement to obtain stockholder approval and is not exercisable for Series B Preferred Stock and (b) permit the Issuer to request the accelerated exercise of the Amended 2018 Warrant to the extent required to meet the funding needs of the Issuer. Other terms of the Amended 2018 Warrant as described in the Form 3 filed with the Securities and Exchange Commission by the Reporting Persons on April 10, 2017 remain the same.

F2 · derivative.expiration_date: On November 30, 2017, the Issuer entered into a Securities Exchange Agreement with Weichai America Corp., pursuant to which (i) the 2,385,624 shares of Series B Preferred Stock (such shares of Series B Preferred Stock being convertible into two shares of Common Stock for each share of Series B Preferred Stock) held by Weichai America Corp. were exchanged for 4,771,248 shares of Common Stock and (ii) the 2018 Warrant was amended (the "Amended 2018 Warrant") to (a) provide that the Amended 2018 Warrant is exercisable for Common Stock without the requirement to obtain stockholder approval and is not exercisable for Series B Preferred Stock and (b) permit the Issuer to request the accelerated exercise of the Amended 2018 Warrant to the extent required to meet the funding needs of the Issuer. Other terms of the Amended 2018 Warrant as described in the Form 3 filed with the Securities and Exchange Commission by the Reporting Persons on April 10, 2017 remain the same.

F2 · derivative.underlying_shares: On November 30, 2017, the Issuer entered into a Securities Exchange Agreement with Weichai America Corp., pursuant to which (i) the 2,385,624 shares of Series B Preferred Stock (such shares of Series B Preferred Stock being convertible into two shares of Common Stock for each share of Series B Preferred Stock) held by Weichai America Corp. were exchanged for 4,771,248 shares of Common Stock and (ii) the 2018 Warrant was amended (the "Amended 2018 Warrant") to (a) provide that the Amended 2018 Warrant is exercisable for Common Stock without the requirement to obtain stockholder approval and is not exercisable for Series B Preferred Stock and (b) permit the Issuer to request the accelerated exercise of the Amended 2018 Warrant to the extent required to meet the funding needs of the Issuer. Other terms of the Amended 2018 Warrant as described in the Form 3 filed with the Securities and Exchange Commission by the Reporting Persons on April 10, 2017 remain the same.

SEC source: 0001382963-17-000184 · edgar.xml · nonDerivative · entry 1

Weichai America Corp. · CIK 0001702521 · 10% owner

Weichai Power Co., Ltd. · CIK 0001703367 · 10% owner

Shandong Heavy Industry Group Co., Ltd. · CIK 0001703252 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 7,700,000

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.

F1 · ownership.nature: This report is filed jointly by Weichai America Corp., Weichai Power Co., Ltd. and Shandong Heavy Industry Group Co., Ltd. (collectively, the "Reporting Persons"). Weichai America Corp. is the direct owner of the Common Stock referenced in this report and shares the power to vote and the power to dispose of all of such shares of Common Stock with the other Reporting Persons. No individual has beneficial ownership over the Common Stock benefically owned by the Reporting Persons. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. This Form 4 shall not deemed to be an admission that any Reporting Person hereunder is the beneficial owner of any of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-17-027706 · doc4.xml · nonDerivative · entry 1

Winemaster Kenneth J · CIK 0001517041 · Executive Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,225,768

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2017, between Power Solutions International, Inc. and Kenneth J. Winemaster. Subject to certain conditions, 22,611 shares will vest on March 31, 2018 and 22,612 shares will vest on March 31, 2019.

SEC source: 0000899243-17-027642 · doc4.xml · nonDerivative · entry 1

SIMPKINS FRANK P · CIK 0001353839 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2017, between Power Solutions International, Inc. and Frank P Simpkins. Subject to certain conditions, 5,000 shares will vest on July 13, 2018.

F1 · balance_after: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2017, between Power Solutions International, Inc. and Frank P Simpkins. Subject to certain conditions, 5,000 shares will vest on July 13, 2018.

SEC source: 0000899243-17-027638 · doc4.xml · nonDerivative · entry 1

Coolidge Leslie Anne · CIK 0001712560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2017, between Power Solutions International, Inc. and Leslie Anne Coolidge. Subject to certain conditions, 5,000 shares will vest on July 13, 2018.

F1 · balance_after: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 28, 2017, between Power Solutions International, Inc. and Leslie Anne Coolidge. Subject to certain conditions, 5,000 shares will vest on July 13, 2018.

SEC source: 0000899243-17-026231 · doc4.xml · nonDerivative · entry 1

Landini Kenneth W · CIK 0001517035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 10, 2017, between Power Solutions International, Inc. and Kenneth W. Landini. Subject to certain conditions, 5,000 shares will vest on July 10, 2018.

SEC source: 0000899243-17-026218 · doc4.xml · nonDerivative · entry 1

Lin Jason C. · CIK 0001707473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 10, 2017, between Power Solutions International, Inc. and Jason C. Lin. Subject to certain conditions, 5,000 shares will vest on July 10, 2018.

F1 · balance_after: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 10, 2017, between Power Solutions International, Inc. and Jason C. Lin. Subject to certain conditions, 5,000 shares will vest on July 10, 2018.

SEC source: 0000899243-17-026214 · doc4.xml · nonDerivative · entry 1

Miller John P. · CIK 0001709137 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 10, 2017, between Power Solutions International, Inc. and John P. Miller. Subject to certain conditions, 27,500 shares will vest on March 31, 2018 and 27,500 shares will vest on March 31, 2019.

SEC source: 0000899243-18-009800 · doc4.xml · nonDerivative · entry 1

Jiang Kui · CIK 0001736349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 10, 2017, between Power Solutions International, Inc. and Kui Jiang. Subject to certain conditions, 5,000 shares will vest on July 10, 2018.

SEC source: 0000899243-18-009798 · doc4.xml · nonDerivative · entry 1

Sun Shaojun · CIK 0001736309 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of November 10, 2017, between Power Solutions International, Inc. and Shaojun Sun. Subject to certain conditions, 5,000 shares will vest on July 10, 2018.

SEC source: 0001382963-17-000132 · edgar.xml · nonDerivative · entry 1

Winemaster Gary S · CIK 0001517040 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,680,896

SEC source: 0001382963-17-000131 · edgar.xml · nonDerivative · entry 1

Weichai America Corp. · CIK 0001702521 · 10% owner

Weichai Power Co., Ltd. · CIK 0001703367 · 10% owner

Shandong Heavy Industry Group Co., Ltd. · CIK 0001703252 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 2,928,752

F1 · ownership.nature: This report is filed jointly by Weichai America Corp., Weichai Power Co., Ltd. and Shandong Heavy Industry Group Co., Ltd. (collectively, the "Reporting Persons"). Weichai America Corp. is the direct owner of the Common Stock referenced in this report and shares the power to vote and the power to dispose of all of such shares of Common Stock with the other Reporting Persons. No individual has beneficial ownership over the Common Stock benefically owned by the Reporting Persons. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. This Form 4 shall not deemed to be an admission that any Reporting Person hereunder is the beneficial owner of any of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-17-016941 · doc4.xml · nonDerivative · entry 1

Miller John P. · CIK 0001709137 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

F1 · shares: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of June 15, 2017, between Power Solutions International, Inc. and John P. Miller. Subject to certain conditions, 18,000 shares will vest on May 31, 2018 and 18,000 shares will vest on May 31, 2019.

F1 · balance_after: Common Stock in the form of restricted stock granted under the Power Solutions 2012 Incentive Compensation Plan and subject to certain restrictions contained in a Restricted Stock Agreement, dated as of June 15, 2017, between Power Solutions International, Inc. and John P. Miller. Subject to certain conditions, 18,000 shares will vest on May 31, 2018 and 18,000 shares will vest on May 31, 2019.