SEC Form 4 · accession 0001209191-19-012797
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
Feb 20, 2019
Accepted (ET)
Feb 22, 2019 · 7:46 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 | Feb 20, 2019 | F | 17,440 | $0.75 | A | 106,303 | 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) | $0.75 | Feb 20, 2019 | M | 25,000 | D | May 14, 2009 | May 13, 2019 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The reporting person received 17,440 shares of common stock on net exercise of option to purchase 25,000 shares of common stock. The reporting person forfeited 7,560 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on February 19, 2019 of $2.48.