Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ONE STOP SYSTEMS, INC.OSS · Entity 2767 | Director | March 04, 2020 | March 06, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ONE STOP SYSTEMS, INC.
Report date March 04, 2020 · Filed March 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 10,000 |
Reported balance
After 2020-03-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-03-04 · Grant · Acquired 10,000 · Balance 10,000 F1: 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: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: On March 4, 2020, the reporting person was granted 10,000 restricted stock units vesting on February 10, 2021.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 04, 2020 Filed Mar 6, 2020 17:35 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 20:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Unit · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009843 · doc4.xml · derivative · entry 2 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On February 12, 2019, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant. F3 · derivative.expiration_date: On February 12, 2019, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 20:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-009843 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 74,370 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units convert into common stock on a one-for-one basis. F2 · ownership.nature: Held by Reardon Family Trust dated August 31, 2011. Mr. Reardon holds joint voting and investment control of the trust with his wife Dawn Reardon. Read SEC document |
| December 16, 2019 Filed Dec 16, 2019 20:17 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 82 | $1.80 | $147.60 |
DisclosureSEC source: 0001209191-19-060785 · doc4.xml · nonDerivative · entry 4 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 66,870 F1 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| December 16, 2019 Filed Dec 16, 2019 20:17 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 191 | $1.77 | $338.07 |
DisclosureSEC source: 0001209191-19-060785 · doc4.xml · nonDerivative · entry 3 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 66,952 F1 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 20:17 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 1,000 | $1.77 | $1,770.00 |
DisclosureSEC source: 0001209191-19-060785 · doc4.xml · nonDerivative · entry 2 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 67,143 F1 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 20:17 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 720 | $1.76 | $1,267.20 |
DisclosureSEC source: 0001209191-19-060785 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 68,143 F1 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| September 06, 2019 Filed Sep 17, 2019 20:33 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 10,000 | $2.46 | $24,600.00 |
DisclosureSEC source: 0001209191-19-049955 · doc4.xml · nonDerivative · entry 2 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 68,863 F4 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions executed on the same day at prices ranging from $2.44 to $2.50 per share, inclusive. F5 · 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 (4) to this Form 4. F3 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| September 05, 2019 Filed Sep 17, 2019 20:33 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 10,000 | $2.38 | $23,800.00 |
DisclosureSEC source: 0001209191-19-049955 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 78,863 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions executed on the same day at prices ranging from $2.35 to $2.45 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: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| April 11, 2019 Filed Apr 15, 2019 19:19 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-024653 · doc4.xml · derivative · entry 2 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant. F3 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant. Read SEC document |
| April 11, 2019 Filed Apr 15, 2019 19:19 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-024653 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 113,803 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units convert into common stock on a one-for-one basis. F2 · ownership.nature: Held by Reardon Family Trust dated August 31, 2011. Mr. Reardon holds joint voting and investment control of the trust with his wife Dawn Reardon. Read SEC document |
| February 20, 2019 Filed Feb 22, 2019 19:46 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001209191-19-012797 · doc4.xml · derivative · entry 2 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2019-05-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 20, 2019 Filed Feb 22, 2019 19:46 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 17,440 | $0.75 | $13,080.00 |
DisclosureSEC source: 0001209191-19-012797 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,303 F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 17,440 shares of common stock on net exercise of option to purchase 25,000 shares of common stock. The reporting person forfeited 7,560 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on February 19, 2019 of $2.48. Read SEC document |
| February 13, 2019 Filed Mar 21, 2019 19:19 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-020854 · doc4.xml · derivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on February 13, 2019 was $2.43. F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. Read SEC document |
| December 13, 2018 Filed Dec 18, 2018 13:55 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 4,610 | $2.83 | $13,046.30 |
DisclosureSEC source: 0001209191-18-063105 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 88,863 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions executed on the same day at a price of $2.83 per share, inclusive. The reporting person undertakes to provide One Stop Systems, Inc., any security holder of One Stop Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold in each transaction at the price set forth in this footnote (1) to this Form 4. F2 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 21:29 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 7,500 | $2.83 | $21,225.00 |
DisclosureSEC source: 0001209191-18-062142 · doc4.xml · nonDerivative · entry 2 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 93,473 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $2.84 per share, inclusive. F2 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| December 07, 2018 Filed Dec 11, 2018 21:29 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 10,000 | $2.84 | $28,400.00 |
DisclosureSEC source: 0001209191-18-062142 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: The RTC Group, Inc. Disclosed balance after: 100,973 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.83 to $2.84 per share, inclusive. The reporting person undertakes to provide One Stop Systems, Inc., any security holder of One Stop Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4. F2 · ownership.nature: Mr. Reardon has sole voting and investment control over The RTC Group, Inc. Read SEC document |
| April 11, 2018 Filed Apr 13, 2018 20:16 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-024882 · doc4.xml · derivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17. F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:20 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019434 · doc4.xml · derivative · entry 2 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2018-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:20 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 20,902 | $1.00 | $20,902.00 |
DisclosureSEC source: 0001209191-18-019434 · doc4.xml · nonDerivative · entry 1 REARDON JOHN RALPH · CIK 0001283973 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Reardon Family Trust dated August 31, 2011 Disclosed balance after: 145,422 F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 20,902 shares of common stock on net exercise of option to purchase 25,000 shares of common stock. The reporting person forfeited 4,098 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on March 9, 2018 of $6.10. F2 · ownership.nature: Mr. Reardon holds joint voting and investment control of the trust with his wife Dawn Reardon. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.