OSS

SEC source: 0001209191-20-042647 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,613

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 748 shares of common stock on the net stock issuance of 833 shares of common stock. The reporting person forfeited 85 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on July 10, 2020 of $1.95.

SEC source: 0001209191-20-042450 · doc4.xml · derivative · entry 2

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kenco, Inc.

Disclosed balance after: 0

Underlying: Common Stock · 65,790 shares

Expires 2020-07-29

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: 0001209191-20-042450 · doc4.xml · nonDerivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,530

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: 0001209191-20-039535 · doc4.xml · nonDerivative · entry 2

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,910

SEC source: 0001209191-20-039535 · doc4.xml · nonDerivative · entry 1

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,410

SEC source: 0001209191-20-038805 · doc4.xml · derivative · entry 2

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,125

Underlying: Common Stock · 412,125 shares

Expires 2030-06-23

F3 · derivative.exercise_date: The options shall vest based on increases of the Company's stock price during six-month periods, which periods end at the end of the second and fourth fiscal quarters. After the Company reports second and fourth fiscal quarter earnings, 29,438 options shall vest if the Company's stock price has increased $0.25 per share over the price at the end of the prior 6-month period. If the stock price increases more or less than $0.25 per share, the number of options that shall vest shall be proportionate to the stock price increase to $0.25. The stock price on the date of grant is the floor for the initial period. The price at the end of each 6-month period (which shall be used as the floor for the subsequent 6-month period) shall be determined using ten-day trailing volume weighted average price (VWAP) after reporting second and fourth fiscal quarter earnings.

SEC source: 0001209191-20-038805 · doc4.xml · derivative · entry 1

RAUN DAVID · CIK 0001219078 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,125

Underlying: Common Stock · 412,125 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 June 23, 2020 was $2.14.

F2 · derivative.exercise_date: The Restricted Stock Units (RSUs) shall vest over three (3) years, with 1/3 of the RSUs vesting following the one-year anniversary of the date of grant, and the remaining RSUs shall vest in four (4) equal installments, commencing six (6) months after the one-year anniversary of the date of grant and every six (6) months thereafter until fully vested, provided that grantee is still employed on each such vesting date.

F2 · derivative.expiration_date: The Restricted Stock Units (RSUs) shall vest over three (3) years, with 1/3 of the RSUs vesting following the one-year anniversary of the date of grant, and the remaining RSUs shall vest in four (4) equal installments, commencing six (6) months after the one-year anniversary of the date of grant and every six (6) months thereafter until fully vested, provided that grantee is still employed on each such vesting date.

SEC source: 0001209191-20-038506 · doc4.xml · nonDerivative · entry 2

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,217,911

F2 · shares: 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 · shares: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.03 to $2.29 per share, inclusive.

SEC source: 0001209191-20-038764 · 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: 3,102,675

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 (4) to this Form 4.

F4 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.15 to $2.52 per share, inclusive.

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 a former officer and director of the issuer.

SEC source: 0001209191-20-038506 · doc4.xml · nonDerivative · entry 1

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,237,911

F1 · shares: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at $2.00 per share.

F2 · shares: 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: 0001209191-20-038764 · 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: 3,181,014

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $2.00 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 (4) 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 a former officer and director of the issuer.

SEC source: 0001209191-20-037286 · doc4.xml · nonDerivative · entry 2

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,241,430

F2 · shares: 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 (2) to this Form 4.

F3 · shares: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.01 per share, inclusive.

SEC source: 0001209191-20-037286 · doc4.xml · nonDerivative · entry 1

Reardon James M · CIK 0001751953 · President, CDI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,242,161

F1 · shares: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.97 to $2.01 per share, inclusive.

F2 · shares: 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 (2) to this Form 4.

SEC source: 0001209191-20-035938 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,164

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.

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: 0001209191-20-035938 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,164

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.

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: 0001209191-20-035938 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,179

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 5,013 shares of common stock on the net stock issuance of 8,334 shares of common stock. The reporting person forfeited 3,321 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on June 9, 2020 of $1.92.

SEC source: 0001209191-20-035938 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,166

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 5,013 shares of common stock on the net stock issuance of 8,334 shares of common stock. The reporting person forfeited 3,321 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on June 9, 2020 of $1.92.

SEC source: 0001209191-20-035931 · doc4.xml · derivative · entry 2

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,336

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.

SEC source: 0001209191-20-035931 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,780

F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 701 shares of common stock on the net stock issuance of 833 shares of common stock. The reporting person forfeited 132 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on June 9, 2020 of $1.92.

SEC source: 0001209191-20-023583 · doc4.xml · derivative · entry 2

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,513

Underlying: Common Stock · 2,105 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: 0001209191-20-023583 · doc4.xml · nonDerivative · entry 1

Ison Jim · CIK 0001729652 · Chief Sales/Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,079

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: 0001209191-20-020415 · doc4.xml · derivative · entry 5

Cooper Steve D · CIK 0001729851 · Director · 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: 3,750

Underlying: Common Stock · 3,750 shares

Expires not disclosed

F11 · shares: The Reporting Person's Form 4 filed on February 18, 2020, reported in Footnote 10 that 3,750 shares of common stock underlying the option to purchase common stock failed to vest and were canceled as a result of the Reporting Person's service to the Company having ceased as of February 15, 2020. However, pursuant to the terms of the Reporting Person's Employment Agreement with the Company, 3,750 shares of common stock underlying the option to purchase common stock accelerated and became fully vested and exercisable upon the Reporting Person's subsequent execution of a Waiver and Release.

F12 · derivative.exercise_date: The option is exercisable as it vests. 1/3 of the shares subject to the option will vest on April 18, 2018, and 1/12th of the total number of shares subject to the option vest quarterly thereafter, subject to the reporting person's continued service to the issuer through each such vesting date.

F12 · derivative.expiration_date: The option is exercisable as it vests. 1/3 of the shares subject to the option will vest on April 18, 2018, and 1/12th of the total number of shares subject to the option vest quarterly thereafter, subject to the reporting person's continued service to the issuer through each such vesting date.

SEC source: 0001209191-20-020415 · doc4.xml · derivative · entry 4

Cooper Steve D · CIK 0001729851 · Director · 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 · 10,000 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.

F8 · shares: The Reporting Person's Form 4 filed on February 18, 2020, reported in Footnote 13 that 20,000 shares of common stock underlying the restricted stock units failed to vest and were canceled as a result of the Reporting Person's service to the Company having ceased as of February 15, 2020. However, pursuant to the terms of the Reporting Person's Employment Agreement with the Company, 10,000 of the 20,000 shares of common stock underlying the restricted stock units accelerated and became fully vested and exercisable upon the Reporting Person's subsequent execution of a Waiver and Release.

F9 · derivative.exercise_date: On February 13, 2019, the reporting person was granted 30,000 restricted stock units. 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.

F9 · derivative.expiration_date: On February 13, 2019, the reporting person was granted 30,000 restricted stock units. 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.

F10 · balance_after: On February 15, 2020, the Reporting Person's service as an employee to the Company ceased and, as such, 10,000 shares of common stock underlying the restricted stock units failed to vest and were cancelled.

SEC source: 0001209191-20-020415 · doc4.xml · derivative · entry 3

Cooper Steve D · CIK 0001729851 · Director · 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 · 10,000 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 · shares: The Reporting Person's Form 4 filed on February 18, 2020, reported in Footnote 12 that 12,500 shares of common stock underlying the restricted stock units failed to vest and were canceled as a result of the Reporting Person's service to the Company having ceased as of February 15, 2020. However, pursuant to the terms of the Reporting Person's Employment Agreement with the Company, 10,000 of the 12,500 shares of common stock underlying the restricted stock units accelerated and became fully vested and exercisable upon the Reporting Person's subsequent execution of a Waiver and Release.

F6 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units. 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. The Initial Vesting Date shall be one quarter following the Date of Restricted stock unit Grant.

F6 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units. 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. The Initial Vesting Date shall be one quarter following the Date of Restricted stock unit Grant.

F7 · balance_after: On February 15, 2020, the Reporting Person's service as an employee to the Company ceased and, as such, 2,500 shares of common stock underlying the restricted stock units failed to vest and were cancelled.

SEC source: 0001209191-20-020415 · doc4.xml · nonDerivative · entry 2

Cooper Steve D · CIK 0001729851 · Director · 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: 3,212,675

F3 · kind: Represents a "net stock issuance" of vested and outstanding restricted stock units. The reporting person received 6,935 shares of common stock on the net stock issuance of 10,000 shares of common stock. The reporting person forfeited 3,065 shares of common stock underlying the vested and outstanding restricted Stock Units to cover tax withholdings, using the closing stock price on March 12, 2020 of $1.56.

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 a director of the issuer.

SEC source: 0001209191-20-020415 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · Director · 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: 3,205,740

F1 · kind: Represents a "net stock issuance" of vested and outstanding restricted stock units. The reporting person received 6,935 shares of common stock on the net stock issuance of 10,000 shares of common stock. The reporting person forfeited 3,065 shares of common stock underlying the vested and outstanding restricted Stock Units to cover tax withholdings, using the closing stock price on March 12, 2020 of $1.56.

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 a director of the issuer.

SEC source: 0001209191-20-016991 · doc4.xml · derivative · entry 1

REARDON JOHN RALPH · CIK 0001283973 · Director

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 common stock on March 4, 2020 was $2.08.

F2 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-016989 · doc4.xml · derivative · entry 1

POTASHNER KENNETH F · CIK 0001211644 · Director

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 common stock on March 4, 2020 was $2.08.

F2 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-016990 · doc4.xml · derivative · entry 1

RAUN DAVID · CIK 0001219078 · Director · Interim President/CEO

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 common stock on March 4, 2020 was $2.08.

F2 · derivative.exercise_date: On March 4, 2020, the reporting person, was granted 10,000 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On March 4, 2020, the reporting person, was granted 10,000 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-016987 · doc4.xml · derivative · entry 1

Harrison Jack · CIK 0001729604 · Director

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 common stock on March 4, 2020 was $2.08.

F2 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-016992 · doc4.xml · derivative · entry 1

Sentovich Kimberly C. · CIK 0001766095 · Director

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 common stock on March 4, 2020 was $2.08.

F2 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

F2 · derivative.expiration_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.

SEC source: 0001209191-20-010049 · doc4.xml · derivative · entry 14

Cooper Steve D · CIK 0001729851 · Director · 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 · 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.

F11 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F13 · derivative.exercise_date: On February 13, 2019, the reporting person was granted 30,000 restricted stock units. 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. On February 15, 2020, the reporting person's service as an employee to the Company ceased and, as such, 20,000 shares of common stock underlying this restricted stock unit failed to vest and were cancelled.

F13 · derivative.expiration_date: On February 13, 2019, the reporting person was granted 30,000 restricted stock units. 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. On February 15, 2020, the reporting person's service as an employee to the Company ceased and, as such, 20,000 shares of common stock underlying this restricted stock unit failed to vest and were cancelled.

SEC source: 0001209191-20-010049 · doc4.xml · derivative · entry 13

Cooper Steve D · CIK 0001729851 · Director · 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 · 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.

F11 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F12 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units. 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. The Initial Vesting Date shall be one quarter following the Date of Restricted stock unit Grant. On February 15, 2020, the reporting person's service as an employee to the Company ceased and, as such, 12,500 shares of common stock underlying this restricted stock unit failed to vest and were cancelled.

F12 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units. 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. The Initial Vesting Date shall be one quarter following the Date of Restricted stock unit Grant. On February 15, 2020, the reporting person's service as an employee to the Company ceased and, as such, 12,500 shares of common stock underlying this restricted stock unit failed to vest and were cancelled.

SEC source: 0001209191-20-010049 · doc4.xml · derivative · entry 12

Cooper Steve D · CIK 0001729851 · Director · 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 · 41,250 shares

Expires 2027-04-17

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.

F10 · derivative.exercise_date: The option is exercisable as it vests. 1/3 of the shares subject to the option will vest on April 18, 2018, and 1/12th of the total number of shares subject to the option vest quarterly thereafter, subject to the reporting person's continued service to the issuer through each such vesting date. On February 15, 2020, the reporting person's service as an employee to the Company ceased and, as such, 3,750 shares of common stock underlying this option to purchase common stock failed to vest and were cancelled.

SEC source: 0001209191-20-010049 · doc4.xml · derivative · entry 11

Cooper Steve D · CIK 0001729851 · Director · 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 · 90,000 shares

Expires 2026-04-01

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.

F9 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-20-010049 · doc4.xml · derivative · entry 10

Cooper Steve D · CIK 0001729851 · Director · 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 2022-01-17

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.

F9 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-20-010049 · doc4.xml · derivative · entry 9

Cooper Steve D · CIK 0001729851 · Director · 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 · 200,000 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.

F9 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-20-010049 · doc4.xml · derivative · entry 8

Cooper Steve D · CIK 0001729851 · Director · 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 · 180,000 shares

Expires 2024-07-15

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.

F9 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 7

Cooper Steve D · CIK 0001729851 · Director · 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: 3,198,805

F8 · kind: Represents a "net stock issuance" of vested and outstanding restricted stock units. The reporting person received 3,246 shares of common stock on the net stock issuance of 5,000 shares of common stock. The reporting person forfeited 1,754 shares of common stock underlying the vested and outstanding Restricted stock units to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

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 a director of the issuer.

SEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 6

Cooper Steve D · CIK 0001729851 · Director · 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: 3,195,559

F7 · kind: Represents a "net stock issuance" of vested and outstanding restricted stock units. The reporting person received 1,810 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 690 shares of common stock underlying the vested and outstanding restricted Stock Units to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

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 a director of the issuer.

SEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 5

Cooper Steve D · CIK 0001729851 · Director · 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: 3,193,749

F6 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 5,424 shares of common stock on net exercise of option to purchase 41,250 shares of common stock. The reporting person forfeited 35,826 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

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 a director of the issuer.

SEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 4

Cooper Steve D · CIK 0001729851 · Director · 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: 3,188,325

F5 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 26,648 shares of common stock on net exercise of option to purchase 90,000 shares of common stock. The reporting person forfeited 63,352 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

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 a director of the issuer.

SEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 3

Cooper Steve D · CIK 0001729851 · Director · 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: 3,161,677

F4 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 33,690 shares of common stock on net exercise of option to purchase 100,000 shares of common stock. The reporting person forfeited 66,310 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

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 a director of the issuer.

SEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 2

Cooper Steve D · CIK 0001729851 · Director · 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: 3,127,987

F3 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 67,314 shares of common stock on net exercise of option to purchase 200,000 shares of common stock. The reporting person forfeited 132,686 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

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 a director of the issuer.

SEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 1

Cooper Steve D · CIK 0001729851 · Director · 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: 3,060,673

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 70,593 shares of common stock on net exercise of option to purchase 180,000 shares of common stock. The reporting person forfeited 109,407 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

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 a director of the issuer.

SEC source: 0001209191-20-010385 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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.

F7 · 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.

F7 · 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: 0001209191-20-010385 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,498

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.

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

F6 · 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.

F6 · 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: 0001209191-20-010385 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,498

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.

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

F5 · 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.

F5 · 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: 0001209191-20-010385 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,153

F3 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 1,826 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 674 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.

SEC source: 0001209191-20-010385 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,327

F2 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 2,787 shares of common stock on the net stock issuance of 4,167 shares of common stock. The reporting person forfeited 1,380 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73.