SEC Form 4 · accession 0001209191-18-062804
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 1, 2018
Accepted (ET)
Dec 14, 2018 · 6:25 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 1, 2018 | M | 2,895 | $0.76 | A | 74,696 | D | |
| Common StockF1 | Dec 12, 2018 | S | 27,901 | $2.66 | D | 46,795 | D | |
| Common Stock | Dec 13, 2018 | S | 3,066 | $2.65 | D | 43,729 | 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 1, 2018 | M | 2,895 | D | — | Sep 30, 2022 | Common Stock | 2,895 | 35,776 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.65 to $2.80 per share, inclusive. The reporting person undertakes to provide One Stop Systems, Inc., any security holder of One Stop Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.
- F2The option is fully vested.