SEC Form 4 · accession 0001209191-18-049015
ONE STOP SYSTEMS, INC. · OSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jim Ison
Officer — Vice President of Sales
Period of report
Aug 28, 2018
Accepted (ET)
Aug 30, 2018 · 6:46 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 StockF1 | Aug 28, 2018 | M | 833 | — | A | 66,583 | D | |
| Common Stock | Aug 28, 2018 | F | 101 | $4.70 | D | 66,482 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Aug 28, 2018 | M | 833 | A | — | — | Common Stock | 833 | 9,167 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On April 11, 2018, the reporting person was granted 10,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date.