OSS

SEC source: 0001209191-19-046890 · doc4.xml · derivative · entry 6

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,832

Underlying: Common Stock · 4,167 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F6 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

F6 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

SEC source: 0001209191-19-046890 · doc4.xml · derivative · entry 5

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,832

Underlying: Common Stock · 4,167 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: On July 2, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

F5 · derivative.expiration_date: On July 2, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

SEC source: 0001209191-19-046890 · doc4.xml · derivative · entry 4

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 2,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Rstricted Stock Unit Grant.

F4 · derivative.expiration_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Rstricted Stock Unit Grant.

SEC source: 0001209191-19-046890 · doc4.xml · nonDerivative · entry 3

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,973

F2 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 3,289 shares of common stock on the net stock issuance of 4,167 shares of common stock. The reporting person forfeited 878 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 16, 2019 of $1.65.

SEC source: 0001209191-19-046890 · doc4.xml · nonDerivative · entry 2

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,684

F2 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 3,289 shares of common stock on the net stock issuance of 4,167 shares of common stock. The reporting person forfeited 878 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 16, 2019 of $1.65.

SEC source: 0001209191-19-046890 · doc4.xml · nonDerivative · entry 1

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,395

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 2,173 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 327 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 16, 2019 of $1.65.

SEC source: 0001209191-19-047068 · doc4.xml · derivative · entry 4

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 17,500

Underlying: Common Stock · 2,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F6 · derivative.exercise_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/12, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service.

F6 · derivative.expiration_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/12, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service.

F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-047068 · doc4.xml · derivative · entry 3

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 25,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant.

F5 · derivative.expiration_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant.

F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-047068 · doc4.xml · nonDerivative · entry 2

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 2,988,113

F3 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 2,159 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 341 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 12, 2019 of $1.65.

F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-047068 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 2,985,954

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 3,803 shares of common stock on the net stock issuance of 5,000 shares of common stock. The reporting person forfeited 1,197 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 12, 2019 of $1.65.

F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-047065 · doc4.xml · derivative · entry 2

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,167

Underlying: Common Stock · 833 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant.

F3 · derivative.expiration_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant.

SEC source: 0001209191-19-047065 · doc4.xml · nonDerivative · entry 1

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,267,185

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 821 shares of common stock on the net stock issuance of 833 shares of common stock. The reporting person forfeited 12 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 12, 2019 of $1.65.

SEC source: 0001209191-19-047051 · doc4.xml · derivative · entry 2

Bressner Josef · CIK 0001758175 · Managing Director, Bressner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

Underlying: Common Stock · 1,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant.

F2 · derivative.expiration_date: Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant.

SEC source: 0001209191-19-047051 · doc4.xml · nonDerivative · entry 1

Bressner Josef · CIK 0001758175 · Managing Director, Bressner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,130

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-045780 · doc4.xml · nonDerivative · entry 1

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,266,364

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.6100 to $1.7500 per share, inclusive.

F2 · price: 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 range set forth in footnote (1) to this Form 4.

SEC source: 0001209191-19-036034 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 2,982,151

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.725 to $1.7399 per share, inclusive.

F2 · price: 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 purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

F3 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-032827 · doc4.xml · derivative · entry 2

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2019-05-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-19-032827 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 2,967,151

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 33,485 shares of common stock on net exercise of option to purchase 100,000 shares of common stock. The reporting person forfeited 66,515 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on May 8, 2019 of $2.38.

F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-028164 · doc4.xml · derivative · entry 3

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2019-05-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-19-028164 · doc4.xml · nonDerivative · entry 2

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,240

SEC source: 0001209191-19-028164 · doc4.xml · nonDerivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-026615 · doc4.xml · derivative · entry 2

Ison Jim · CIK 0001729652 · VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,355

Underlying: Common Stock · 1,842 shares

Expires 2022-09-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-19-026615 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,389

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-024649 · doc4.xml · derivative · entry 3

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date.

F3 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date.

SEC source: 0001209191-19-024649 · doc4.xml · nonDerivative · entry 2

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 2,933,666

F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-024649 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner

Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 2,935,394

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer.

SEC source: 0001209191-19-024653 · doc4.xml · derivative · entry 2

REARDON JOHN RALPH · CIK 0001283973 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

F3 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

SEC source: 0001209191-19-024653 · doc4.xml · nonDerivative · entry 1

REARDON JOHN RALPH · CIK 0001283973 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 113,803

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · ownership.nature: Held by Reardon Family Trust dated August 31, 2011. Mr. Reardon holds joint voting and investment control of the trust with his wife Dawn Reardon.

SEC source: 0001209191-19-024651 · doc4.xml · derivative · entry 6

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,999

Underlying: Common Stock · 8,334 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 2, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

F3 · derivative.expiration_date: On July 2, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

SEC source: 0001209191-19-024651 · doc4.xml · derivative · entry 5

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,999

Underlying: Common Stock · 8,334 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

F2 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 50,000 restricted stock units, vesting as follows: prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/3, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be September 1, 2017 to coincide with Grantee's date of hire.

SEC source: 0001209191-19-024651 · doc4.xml · nonDerivative · entry 4

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,222

SEC source: 0001209191-19-024651 · doc4.xml · nonDerivative · entry 3

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,322

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-024651 · doc4.xml · nonDerivative · entry 2

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,988

SEC source: 0001209191-19-024651 · doc4.xml · nonDerivative · entry 1

Morrison John W Jr. · CIK 0001729697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-024647 · doc4.xml · derivative · entry 3

Ison Jim · CIK 0001729652 · VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,668

Underlying: Common Stock · 1,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On 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.

F2 · derivative.expiration_date: On 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.

SEC source: 0001209191-19-024647 · doc4.xml · nonDerivative · entry 2

Ison Jim · CIK 0001729652 · VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,547

SEC source: 0001209191-19-024647 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,875

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-024813 · doc4.xml · derivative · entry 2

RAUN DAVID · CIK 0001219078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

F2 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

SEC source: 0001209191-19-024813 · doc4.xml · nonDerivative · entry 1

RAUN DAVID · CIK 0001219078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-024811 · doc4.xml · derivative · entry 2

JONES RANDY G · CIK 0001231628 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

F3 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

SEC source: 0001209191-19-024811 · doc4.xml · nonDerivative · entry 1

JONES RANDY G · CIK 0001231628 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 1,271,249

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · ownership.nature: These shares are owned directly by the Randy Jones and Roseann Piazza Jones Revocable Trust and indirectly by Randy Jones as trustee of the trust. Randy Jones is a director of the issuer.

SEC source: 0001209191-19-024809 · doc4.xml · derivative · entry 2

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

F2 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

SEC source: 0001209191-19-024809 · doc4.xml · nonDerivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-024807 · doc4.xml · derivative · entry 2

Harrison Jack · CIK 0001729604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

F2 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant.

SEC source: 0001209191-19-024807 · doc4.xml · nonDerivative · entry 1

Harrison Jack · CIK 0001729604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-034992 · doc4.xml · derivative · entry 1

RAUN DAVID · CIK 0001219078 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 13,953

Underlying: Common Stock · 13,953 shares

Expires 2024-04-04

F1 · ownership.nature: The Common Stock Purchase Warrant is held directly by the Raun Family Trust and indirectly by Dave Raun as Trustee of the Trust.

SEC source: 0001209191-19-034994 · doc4.xml · derivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Corp.

Disclosed balance after: 19,767

Underlying: Common Stock · 19,767 shares

Expires 2024-04-04

F1 · ownership.nature: The Common Stock Purchase Warrant is held directly by Kenco, Inc., and indirectly by Ken Potashner. Mr. Potashner has sole voting and investment control over Kenco, Inc.

SEC source: 0001209191-19-034993 · doc4.xml · derivative · entry 1

Harrison Jack · CIK 0001729604 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 19,767

Underlying: Common Stock · 19,767 shares

Expires 2024-04-04

F1 · ownership.nature: The Common Stock Purchase Warrant is held directly by Jacoma Investments, LLC and indirectly by Jack Harrison as Sole Manager of the LLC.

SEC source: 0001209191-19-021872 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,051

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.0128 to $2.081 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.

SEC source: 0001209191-19-021789 · doc4.xml · nonDerivative · entry 2

RAUN DAVID · CIK 0001219078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000