OSS

SEC source: 0001209191-21-009505 · doc4.xml · nonDerivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,200

F1 · price: Automatic sales under 10b5-1 program of 21,753 shares at $6.0699 average price per share. Reporting person's currently outstanding 10b5-1 program has been completed and no further sales will be made thereunder.

SEC source: 0001209191-21-003934 · doc4.xml · nonDerivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,953

F1 · price: Automatic sales under 10b5-1 program of 32,630 shares at $4.6543 average price per share.

SEC source: 0001209191-21-002542 · doc4.xml · derivative · entry 2

Ison James · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,250

Underlying: Common Stock · 5,263 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.

SEC source: 0001209191-21-002542 · doc4.xml · nonDerivative · entry 1

Ison James · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 28,819

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 · ownership.nature: These shares are owned directly by James J Ison Jr. and Sha-Marie A Ison Inter Vivos Revocable Trust dated June 4, 2020, and indirectly by James Ison as trustee of the trust.

SEC source: 0000950170-24-141130 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 477,530

F1 · shares: (1) The Reporting Person forfeited 17,525 shares of common stock upon conversion of an aggregate 50,000 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F2 · balance_after: (2) Includes 381,450 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

SEC source: 0001209191-20-062628 · doc4.xml · derivative · entry 4

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kenco, Inc.

Disclosed balance after: 0

Underlying: Common Stock · 13,158 shares

Expires 2020-12-31

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.

F1 · ownership.nature: Mr. Potashner has sole voting and investment control over Kenco, Inc.

SEC source: 0001209191-20-062628 · doc4.xml · derivative · entry 3

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kenco, Inc.

Disclosed balance after: 0

Underlying: Common Stock · 32,895 shares

Expires 2020-12-31

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.

F1 · ownership.nature: Mr. Potashner has sole voting and investment control over Kenco, Inc.

SEC source: 0001209191-20-062628 · doc4.xml · nonDerivative · entry 2

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,583

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.

SEC source: 0001209191-20-062628 · doc4.xml · nonDerivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,425

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: 0001209191-20-060293 · doc4.xml · nonDerivative · entry 1

Messinger Gioia · CIK 0001617998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 760

SEC source: 0001209191-20-059153 · doc4.xml · nonDerivative · entry 2

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,910

SEC source: 0001209191-20-059153 · doc4.xml · nonDerivative · entry 1

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,410

SEC source: 0001209191-20-058938 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 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 November 13, 2020 was $2.35.

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 6 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.

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 6 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.

SEC source: 0001209191-20-058936 · doc4.xml · derivative · entry 1

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 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 November 13, 2020 was $2.35.

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 6 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.

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 6 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.

SEC source: 0001209191-20-057031 · doc4.xml · derivative · entry 2

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,670

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.

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

F4 · 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.

F4 · 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: 0001209191-20-057031 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 23,556

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 736 shares of common stock on the net stock issuance of 833 shares of common stock. The reporting person forfeited 97 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on November 2, 2020 of $2.25.

F2 · ownership.nature: These shares are owned directly by the James J. Ison Jr. & Sha-Marie A Ison TR UA 06 04 2020 James J. Ison Jr. & Sha-Marie A Ison Inter Vivos Revocable Trust, with Jim Ison as trustee of the trust.

SEC source: 0001209191-20-050748 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,164 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.

F4 · 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.

F4 · 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: 0001209191-20-050748 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,164 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: 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.

F3 · 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: 0001209191-20-050748 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,437

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 3,123 shares of common stock on the net stock issuance of 4,164 shares of common stock. The reporting person forfeited 1,041 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on September 14, 2020 of $2.30.

SEC source: 0001209191-20-050748 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,314

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 3,123 shares of common stock on the net stock issuance of 4,164 shares of common stock. The reporting person forfeited 1,041 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on September 14, 2020 of $2.30.

SEC source: 0001209191-20-049268 · doc4.xml · nonDerivative · entry 3

Cooper Steve D · CIK 0001729851 · 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: 3,042,675

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.

SEC source: 0001209191-20-049268 · doc4.xml · nonDerivative · entry 2

Cooper Steve D · CIK 0001729851 · 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: 3,052,675

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.

SEC source: 0001209191-20-048790 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

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.

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 Rstricted 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 Rstricted Stock Unit Grant.

SEC source: 0001209191-20-048790 · doc4.xml · derivative · entry 3

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.

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 Rstricted 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 Rstricted Stock Unit Grant.

SEC source: 0001209191-20-048790 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,191

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 2,006 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 494 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 26, 2020 of $2.56.

SEC source: 0001209191-20-048790 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,185

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 2,006 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 494 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 26, 2020 of $2.56.

SEC source: 0001209191-20-048787 · doc4.xml · derivative · entry 4

Ison Jim · CIK 0001729652 · Chief Sales/Marketing 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 Restricted 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 Restricted Stock Unit Grant.

SEC source: 0001209191-20-048787 · doc4.xml · derivative · entry 3

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,999

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.

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 Restricted 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 Restricted Stock Unit Grant.

SEC source: 0001209191-20-048787 · doc4.xml · nonDerivative · entry 2

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,820

F2 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 1,876 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 624 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 26, 2020 of $2.56.

SEC source: 0001209191-20-048787 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,944

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 1,331 shares of common stock on the net stock issuance of 1,667 shares of common stock. The reporting person forfeited 336 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 26,2020 of $2.56.

SEC source: 0001209191-20-048785 · doc4.xml · derivative · entry 2

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,501

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: 0001209191-20-048785 · doc4.xml · nonDerivative · entry 1

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,118,699

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 788 shares of common stock on the net stock issuance of 833 shares of common stock. The reporting person forfeited 45 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 26, 2020 of $2.56.

SEC source: 0001209191-20-048981 · doc4.xml · derivative · entry 2

Bressner Josef · CIK 0001758175 · Managing Director, Bressner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,666

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: 0001209191-20-048981 · doc4.xml · nonDerivative · entry 1

Bressner Josef · CIK 0001758175 · Managing Director, Bressner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,797

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: 0001209191-20-048279 · doc4.xml · nonDerivative · entry 3

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,117,911

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 footnotes (1) and (3) to this Form 4.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.46 to $2.64 per share, inclusive.

SEC source: 0001209191-20-049268 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · 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: 3,062,675

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.80 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.

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.

SEC source: 0001209191-20-048279 · doc4.xml · nonDerivative · entry 2

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,179,634

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.37 to $2.53 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 footnotes (1) and (3) to this Form 4.

SEC source: 0001209191-20-048279 · doc4.xml · nonDerivative · entry 1

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,191,576

SEC source: 0001209191-20-047920 · doc4.xml · nonDerivative · entry 2

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,198,530

SEC source: 0001209191-20-048123 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · 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: 3,090,425

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.60 per share, inclusive.

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.

SEC source: 0001209191-20-047920 · doc4.xml · nonDerivative · entry 1

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,217,067

SEC source: 0001209191-20-047648 · doc4.xml · nonDerivative · entry 2

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,910

SEC source: 0001209191-20-047648 · doc4.xml · nonDerivative · entry 1

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,410

SEC source: 0001209191-20-047372 · doc4.xml · nonDerivative · entry 1

Matz Gregory W · CIK 0001536574 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Matz Trust

Disclosed balance after: 2,500

SEC source: 0001209191-20-047645 · doc4.xml · nonDerivative · entry 1

Harrison Jack · CIK 0001729604 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jacoma Investments, LLC

Disclosed balance after: 20,451

F1 · ownership.nature: The 5,000 shares of common stock were purchased by Jacoma Investments, LLC, which is owned and controlled 100% by the reporting person.

SEC source: 0001209191-20-045405 · doc4.xml · derivative · entry 1

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,634

Underlying: Common Stock · 8,634 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock. The closing price of the issuer on August 3, 2020 was $2.48.

F2 · derivative.exercise_date: On August 3, 2020, the reporting person was granted 8,634 fully-vested restricted stock units which will be settled on February 10, 2021.

F2 · derivative.expiration_date: On August 3, 2020, the reporting person was granted 8,634 fully-vested restricted stock units which will be settled on February 10, 2021.

SEC source: 0001209191-20-045403 · doc4.xml · derivative · entry 1

Lowman Teresita M. · CIK 0001814953 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,164

Underlying: Common Stock · 6,164 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock. The closing price of the issuer on August 3, 2020 was $2.48.

F2 · derivative.exercise_date: On August 3, 2020, the reporting person was granted 6,164 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On August 3, 2020, the reporting person was granted 6,164 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-045401 · doc4.xml · derivative · entry 1

Matz Gregory W · CIK 0001536574 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,164

Underlying: Common Stock · 6,164 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock. The closing price of the issuer on August 3, 2020 was $2.48.

F1 · date: Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock. The closing price of the issuer on August 3, 2020 was $2.48.

F2 · derivative.exercise_date: On August 3, 2020, the reporting person was granted 6,164 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On August 3, 2020, the reporting person was granted 6,164 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-045385 · doc4.xml · derivative · entry 1

Messinger Gioia · CIK 0001617998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,164

Underlying: Common Stock · 6,164 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock. The closing price of the issuer on August 3, 2020 was $2.48

F2 · derivative.exercise_date: On August 3, 2020, the reporting person was granted 6,164 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On August 3, 2020, the reporting person was granted 6,164 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-042647 · doc4.xml · derivative · entry 2

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,503

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: 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.

F3 · 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.