SEC Form 4 · accession 0001209191-18-062138
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
Mar 30, 2018
Accepted (ET)
Dec 11, 2018 · 8:57 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 Stock | Mar 30, 2018 | M | 1,579 | $0.76 | A | 66,837 | D | |
| Common Stock | Jun 27, 2018 | M | 1,500 | $0.76 | A | 69,561 | D | |
| Common Stock | Sep 26, 2018 | M | 171 | $0.76 | A | 69,732 | D | |
| Common Stock | Sep 26, 2018 | M | 1,329 | $0.76 | A | 71,061 | D | |
| Common StockF1 | Oct 29, 2018 | M | 833 | — | A | 71,894 | D | |
| Common Stock | Oct 29, 2018 | F | 93 | $3.54 | D | 71,801 | 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)F2 | $0.76 | Mar 30, 2018 | M | 1,579 | D | — | Dec 6, 2021 | Common Stock | 1,579 | 1,671 | D |
| Employee Stock Option (right to buy)F2 | $0.76 | Jun 27, 2018 | M | 1,500 | D | — | Dec 6, 2021 | Common Stock | 1,500 | 171 | D |
| Employee Stock Option (right to buy)F2 | $0.76 | Sep 26, 2018 | M | 171 | D | — | Dec 6, 2021 | Common Stock | 171 | 0 | D |
| Employee Stock Option (right to buy)F3 | $0.76 | Sep 26, 2018 | M | 1,329 | D | — | Sep 30, 2022 | Common Stock | 1,329 | 38,671 | D |
| Restricted Stock UnitsF1,F4 | — | Oct 29, 2018 | M | 833 | D | — | — | Common Stock | 833 | 8,334 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2The option is fully vested.
- F3The option is fully vested.
- F4On 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.