Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ONE STOP SYSTEMS, INC.OSS · Entity 2767 | Director | March 09, 2018 | March 14, 2018 |
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 09, 2018 · Filed March 14, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: William and Deborah Carpenter Family Trust | 199,236 |
Reported balance
After 2018-03-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-03-09 · Tax withholding · Acquired 20,902 · Balance 199,236 F1: 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: Mr. Carpenter holds joint voting and investment control of the trust with his wife Deborah Carpenter. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2018-03-31 | Direct | 0 |
Reported balance
After 2018-03-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-03-09 · Exercise / conversion · Disposed 25,000 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Mr. Carpenter holds joint voting and investment control of the trust with his wife Deborah Carpenter.
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 09, 2018 Filed Mar 14, 2018 01:18 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: 0001209191-18-019469 · doc4.xml · derivative · entry 2 Carpenter William · CIK 0001729592 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2018-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 09, 2018 Filed Mar 14, 2018 01:18 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 20,902 | $1.00 | $20,902.00 |
DisclosureSEC source: 0001209191-18-019469 · doc4.xml · nonDerivative · entry 1 Carpenter William · CIK 0001729592 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: William and Deborah Carpenter Family Trust Disclosed balance after: 199,236 F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 20,902 shares of common stock on net exercise of option to purchase 25,000 shares of common stock. The reporting person forfeited 4,098 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on March 9, 2018 of $6.10. F2 · ownership.nature: Mr. Carpenter holds joint voting and investment control of the trust with his wife Deborah Carpenter. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.