SEC Form 4 · accession 0001209191-18-019434
ONE STOP SYSTEMS, INC. · OSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Ralph Reardon
Director
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 8:20 pm EDT
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 StockF2 | Mar 9, 2018 | F | 20,902 | $1.00 | A | 145,422 | I | By: Reardon Family Trust dated August 31, 2011 |
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) | $1.00 | Mar 9, 2018 | M | 25,000 | D | Apr 1, 2009 | Mar 31, 2018 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The reporting person received 20,902 shares of common stock on net exercise of option to purchase 25,000 shares of common stock. The reporting person forfeited 4,098 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on March 9, 2018 of $6.10.
- F2Mr. Reardon holds joint voting and investment control of the trust with his wife Dawn Reardon.