SEC Form 4 · accession 0001209191-18-049694
ONE STOP SYSTEMS, INC. · OSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Reardon
Officer — President, CDI
Period of report
Aug 31, 2018
Accepted (ET)
Sep 5, 2018 · 8:13 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 Stock | Aug 31, 2018 | A | 1,266,364 | $3.89 | A | 1,330,496 | D |
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)F1 | $3.63 | Sep 1, 2018 | A | 30,000 | A | — | Aug 31, 2028 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1The stock option will vest as follows: (i) 1/3 of the total shares will vest on the one (1) year anniversary of August 31, 2018 and (ii) 1/12 of the total shares will vest each quarter thereafter.