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OSS

ONE STOP SYSTEMS, INC.

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2767
SEC CIK
0001394056
Parsed reports
310

Last 12 months

Inside the activity.

0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202603
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 28, 2018 Filed Aug 30, 2018 22:46 UTC
Ison JamesVice President of Sales
Exercise / conversionCommon Stock 833 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-049015 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,583

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.

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July 02, 2018 Filed Jul 2, 2018 22:06 UTC
Morrison John W Jr.Chief Financial Officer
GrantRestricted Stock Unit · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-040490 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on July 2, 2018 was $4.09.

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 1/3, 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: 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.

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June 27, 2018 Filed Dec 12, 2018 01:57 UTC
Ison JamesVice President of Sales
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 1,500 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0001209191-18-062138 · doc4.xml · derivative · entry 8

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171

Underlying: Common Stock · 1,500 shares

Expires 2021-12-06

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_date: The option is fully vested.

Read SEC document
June 27, 2018 Filed Dec 12, 2018 01:57 UTC
Ison JamesVice President of Sales
Exercise / conversionCommon Stock 1,500 $0.76 $1,140.00
Disclosure

SEC source: 0001209191-18-062138 · doc4.xml · nonDerivative · entry 2

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,561

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.

Read SEC document
April 11, 2018 Filed Apr 13, 2018 20:11 UTC
Cooper Steve DDirector · President, CEO · 10% owner
GrantRestricted Stock Unit · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024877 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

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 1/12, 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 · 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.

Read SEC document
April 11, 2018 Filed Apr 13, 2018 20:16 UTC GrantRestricted Stock Unit · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024882 · doc4.xml · derivative · entry 1

REARDON JOHN RALPH · CIK 0001283973 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

Read SEC document
April 11, 2018 Filed Apr 13, 2018 20:41 UTC
JONES RANDY GDirector · 10% owner
GrantRestricted Stock Unit · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024883 · doc4.xml · derivative · entry 1

JONES RANDY G · CIK 0001231628 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

Read SEC document
April 11, 2018 Filed Apr 13, 2018 20:14 UTC GrantRestricted Stock Unit · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024880 · doc4.xml · derivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

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April 11, 2018 Filed Apr 13, 2018 20:15 UTC
RAUN DAVIDDirector
GrantRestricted Stock Unit · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024881 · doc4.xml · derivative · entry 1

RAUN DAVID · CIK 0001219078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

Read SEC document
April 11, 2018 Filed Apr 14, 2018 00:13 UTC
Ison JamesVice President of Sales
GrantRestricted Stock Unit · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024879 · doc4.xml · derivative · entry 1

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

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 1/12, 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 · 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.

Read SEC document
April 11, 2018 Filed Apr 14, 2018 00:12 UTC GrantRestricted Stock Unit · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024878 · doc4.xml · derivative · entry 1

Harrison Jack · CIK 0001729604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant.

Read SEC document
April 11, 2018 Filed Apr 14, 2018 00:09 UTC
Morrison John W Jr.Chief Financial Officer
GrantRestricted Stock Unit · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-024876 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17.

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 1/3, 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. Recognition of prior service period commencing September 1, 2017.

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 1/3, 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. Recognition of prior service period commencing September 1, 2017.

Read SEC document
March 30, 2018 Filed Dec 12, 2018 01:57 UTC
Ison JamesVice President of Sales
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 1,579 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0001209191-18-062138 · doc4.xml · derivative · entry 7

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,671

Underlying: Common Stock · 1,579 shares

Expires 2021-12-06

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_date: The option is fully vested.

Read SEC document
March 30, 2018 Filed Dec 12, 2018 01:57 UTC
Ison JamesVice President of Sales
Exercise / conversionCommon Stock 1,579 $0.76 $1,200.04
Disclosure

SEC source: 0001209191-18-062138 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,837

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.

Read SEC document
March 09, 2018 Filed Mar 13, 2018 20:14 UTC
Cooper Steve DDirector · President, CEO · 10% owner
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 100,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001209191-18-019432 · 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 2018-03-31

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.

Read SEC document
March 09, 2018 Filed Mar 13, 2018 20:14 UTC
Cooper Steve DDirector · President, CEO · 10% owner
Tax withholdingCommon Stock 38,580 $1.00 $38,580.00
Disclosure

SEC source: 0001209191-18-019432 · 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: 2,926,696

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 38,580 shares of common stock on net exercise of option to purchase 100,000 shares of common stock. The reporting person forfeited 16,393 shares of common stock underlying the option in payment of the exercise price and 45,027 shares of common stock to cover tax withholdings, using the closing stock price on March 9, 2018 of $6.10.

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.

Read SEC document
March 09, 2018 Filed Mar 13, 2018 20:20 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001209191-18-019434 · 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 · 25,000 shares

Expires 2018-03-31

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.

Read SEC document
March 09, 2018 Filed Mar 13, 2018 20:20 UTC Tax withholdingCommon Stock 20,902 $1.00 $20,902.00
Disclosure

SEC source: 0001209191-18-019434 · doc4.xml · nonDerivative · entry 1

REARDON JOHN RALPH · CIK 0001283973 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Reardon Family Trust dated August 31, 2011

Disclosed balance after: 145,422

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 20,902 shares of common stock on net exercise of option to purchase 25,000 shares of common stock. The reporting person forfeited 4,098 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on March 9, 2018 of $6.10.

F2 · ownership.nature: Mr. Reardon holds joint voting and investment control of the trust with his wife Dawn Reardon.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:18 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001209191-18-019469 · doc4.xml · derivative · entry 2

Carpenter William · CIK 0001729592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2018-03-31

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.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:18 UTC Tax withholdingCommon Stock 20,902 $1.00 $20,902.00
Disclosure

SEC source: 0001209191-18-019469 · doc4.xml · nonDerivative · entry 1

Carpenter William · CIK 0001729592 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: William and Deborah Carpenter Family Trust

Disclosed balance after: 199,236

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 20,902 shares of common stock on net exercise of option to purchase 25,000 shares of common stock. The reporting person forfeited 4,098 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on March 9, 2018 of $6.10.

F2 · ownership.nature: Mr. Carpenter holds joint voting and investment control of the trust with his wife Deborah Carpenter.

Read SEC document
March 01, 2018 Filed Dec 14, 2018 23:25 UTC
Ison JamesVice President of Sales
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 2,895 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0001209191-18-062804 · doc4.xml · derivative · entry 4

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,776

Underlying: Common Stock · 2,895 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.

F2 · derivative.exercise_date: The option is fully vested.

Read SEC document
March 01, 2018 Filed Dec 14, 2018 23:25 UTC
Ison JamesVice President of Sales
Exercise / conversionCommon Stock 2,895 $0.76 $2,200.20
Disclosure

SEC source: 0001209191-18-062804 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,696

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.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 20:50 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001209191-18-011739 · 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 · 25,000 shares

Expires 2018-03-31

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.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 20:50 UTC Exercise / conversionCommon Stock 25,000 $1.00 $25,000.00
Disclosure

SEC source: 0001209191-18-011739 · doc4.xml · nonDerivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

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.

Read SEC document
February 09, 2018 Filed Feb 9, 2018 18:31 UTC
Cooper Steve DDirector · President, CEO · 10% owner
SaleCommon Stock 100,000 $5.00 $500,000.00
Disclosure

SEC source: 0001209191-18-008990 · 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: 2,888,116

F1 · shares: On February 9, 2018, the underwriters of One Stop Systems' initial public offering (the "IPO") partially exercised their over-allotment option to purchase 100,000 shares of common stock from the Cooper Revocable Trust, dated April 25, 2001. The transaction closed on February 9, 2018. The underwriters still have an option to purchase up to an additional 185,000 shares of common stock from the trust to cover additional over-allotments, if any.

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.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.