SEC Form 3 · accession 0001209191-18-006349
ONE STOP SYSTEMS, INC. · OSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Randy G Jones
Director · 10% Owner
Period of report
Jan 31, 2018
Accepted (ET)
Jan 31, 2018 · 8:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001394056
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 1,263,749 | I | By trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.78 | holding | — | — | — | — | Jul 14, 2026 | Common Stock | 10,000 | — | D |
| Employee Stock Option (right to buy)F2 | $1.78 | holding | — | — | — | — | Jul 14, 2026 | Common Stock | 30,000 | — | D |
| Employee Stock Option (right to buy)F3 | $1.95 | holding | — | — | — | — | Apr 17, 2027 | Common Stock | 10,000 | — | D |
Explanation of responses
- F1These shares are owned directly by the Randy Jones and Roseann Piazza Jones Revocable Trust, a ten percent owner of the issuer, and indirectly by Randy Jones as trustee of the trust. Randy Jones is a director of the issuer.
- F2The option is fully vested.
- F3The option is exercisable as it vests. 1/4 of the shares subject to the option vested on July 18, 2017, 1/4 of the shares subject to the option vested on October 18, 2017, 1/4 of the shares subject to the option vested on January 18, 2018 and 1/4 of the shares subject to the option will vest on April 18, 2018, subject to the reporting person's continued service to the issuer through such vesting date.