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person · Reporting owner

Morrison John W Jr.

Disclosed activity across 1 company

Tapewire entity
86159
SEC CIK
0001729697

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Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

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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.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ONE STOP SYSTEMS, INC.

Report date November 11, 2024 · Filed November 13, 2024

Section 16 reporting ended · disclosed 2024-11-13. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Transaction history

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 23, 2024 Filed Sep 25, 2024 20:16 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 5,961 $2.19 $13,054.59
Disclosure

SEC source: 0000950170-24-109344 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 305,381

F1 · kind: The Reporting Person forfeited 5,961 shares of common stock upon conversion of 15,667 vested and outstanding restricted stock inits 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 March 20, 2023.

F2 · balance_after: Includes 128,967 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
August 20, 2024 Filed Aug 22, 2024 00:59 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 4,059 $2.16 $8,767.44
Disclosure

SEC source: 0000950170-24-099663 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,342

F1 · kind: The Reporting Person forfeited 4,059 shares of common stock upon conversion of 10,667 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 February 7, 2022.

F2 · balance_after: Includes 144,634 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
July 01, 2024 Filed Jul 4, 2024 01:04 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 71,300 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-081757 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,401

F1 · shares: Represents 71,300 restricted stock units granted to the Reporting Person under the Issuer's 2017 Equity Incentive Plan, as amended (the "Plan"), which restricted stock units are subject to vesting conditions.

F2 · balance_after: Includes 155,301 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
May 23, 2024 Filed May 28, 2024 22:14 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 1,257 $2.41 $3,029.37
Disclosure

SEC source: 0001209191-24-005746 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 244,101

F1 · kind: The Reporting Person forfeited 1,257 shares of common stock upon conversion of 3,334 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 May 21, 2021.

F2 · balance_after: Includes 84,001 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
March 25, 2024 Filed Mar 27, 2024 23:27 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 12,504 $3.90 $48,765.60
Disclosure

SEC source: 0001209191-24-005111 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,358

F1 · kind: The Reporting Person forfeited 12,504 shares of common stock upon conversion of 31,333 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 March 20, 2023.

F2 · balance_after: Includes 87,335 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 05, 2024 Filed Feb 8, 2024 01:24 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 4,624 $2.01 $9,294.24
Disclosure

SEC source: 0001209191-24-002972 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,862

F1 · kind: The Reporting Person forfeited 4,624 shares of common stock upon conversion of 10,666 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 February 7, 2022.

F2 · balance_after: Includes 118,668 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
November 21, 2023 Filed Nov 22, 2023 00:44 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 1,232 $2.09 $2,574.88
Disclosure

SEC source: 0001209191-23-056398 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,486

F1 · kind: The Reporting Person forfeited 1,232 shares of common stock upon conversion of 3,333 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 May 21, 2021.

F2 · balance_after: Includes 129,334 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
November 17, 2023 Filed Nov 20, 2023 22:38 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 2,463 $1.99 $4,901.37
Disclosure

SEC source: 0001209191-23-056098 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 263,718

F1 · kind: The Reporting Person forfeited 2,463 shares of common stock upon conversion of 6,667 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 May 21, 2021.

F2 · balance_after: Includes 132,667 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
August 16, 2023 Filed Aug 19, 2023 01:33 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 3,941 $1.77 $6,975.57
Disclosure

SEC source: 0001209191-23-046660 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,181

F1 · kind: The Reporting Person forfeited 3,941 shares of common stock upon conversion of 10,667 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 February 7, 2022.

F2 · balance_after: Includes 139,334 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
May 22, 2023 Filed May 24, 2023 22:45 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 2,463 $2.44 $6,009.72
Disclosure

SEC source: 0001209191-23-031987 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 270,122

F3 · kind: The Reporting Person forfeited 2,463 shares of common stock upon conversion of 6,667 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 May 21, 2021.

F4 · balance_after: Includes 150,001 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
May 22, 2023 Filed May 24, 2023 22:45 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 1,232 $2.48 $3,055.36
Disclosure

SEC source: 0001209191-23-031987 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 272,585

F1 · kind: The Reporting Person forfeited 1,232 shares of common stock upon conversion of 3,333 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 May 21, 2021.

F2 · balance_after: Includes 156,668 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
March 16, 2023 Filed Mar 21, 2023 00:09 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 94,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-020130 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 273,817

F1 · shares: Represents 94,000 restricted stock units awarded to the Reporting Person under the Issuer's 2017 Equity Incentive Plan, as amended, in connection with the Reporting Person's service as an executive officer of the Issuer, which restricted stock units are subject to certain vesting conditions.

F2 · balance_after: Includes 160,001 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 23:19 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-009358 · 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 · 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.

F1 · 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.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 23:19 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 1,079 $3.49 $3,765.71
Disclosure

SEC source: 0001209191-23-009358 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,817

F3 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 1,079 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

F2 · balance_after: Includes 66,001 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions

Read SEC document
February 10, 2023 Filed Feb 14, 2023 23:19 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-009358 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,896

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 · balance_after: Includes 66,001 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions

Read SEC document
February 08, 2023 Filed Feb 11, 2023 00:21 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 9,205 $3.50 $32,217.50
Disclosure

SEC source: 0001209191-23-008536 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,396

F1 · kind: The Reporting Person forfeited 9,205 shares of common stock upon conversion of 21,333 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 February 7, 2022.

F2 · balance_after: Includes 66,001 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
November 22, 2022 Filed Nov 23, 2022 23:08 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 1,232 $3.17 $3,905.44
Disclosure

SEC source: 0001209191-22-058740 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,601

F1 · kind: The Reporting Person forfeited 1,232 shares of common stock upon conversion of 3,334 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 May 21, 2021.

F2 · balance_after: Includes 89,436 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:15 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 2,463 $3.17 $7,807.71
Disclosure

SEC source: 0001209191-22-056767 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,833

F1 · kind: The Reporting Person forfeited 2,463 shares of common stock upon conversion of 6,666 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 May 21, 2021.

F2 · balance_after: Includes 90,668 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
October 04, 2022 Filed Oct 6, 2022 23:05 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-053006 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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.

F1 · 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.

Read SEC document
October 04, 2022 Filed Oct 6, 2022 23:05 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 849 $3.27 $2,776.23
Disclosure

SEC source: 0001209191-22-053006 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,296

F3 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 849 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

F2 · balance_after: Includes 97,334 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions

Read SEC document
October 04, 2022 Filed Oct 6, 2022 23:05 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-053006 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,145

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 · balance_after: Includes 97,334 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions

Read SEC document
May 23, 2022 Filed May 25, 2022 20:29 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 3,058 $4.30 $13,149.40
Disclosure

SEC source: 0001209191-22-031868 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,645

F1 · kind: The Reporting Person forfeited 3,058 shares of common stock upon conversion of 6,666 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 May 21, 2021.

F2 · balance_after: Includes 97,334 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
May 17, 2022 Filed May 19, 2022 20:16 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 2,463 $4.41 $10,861.83
Disclosure

SEC source: 0001209191-22-030500 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,703

F1 · kind: The Reporting Person forfeited 2,463 shares of common stock upon conversion of 6,667 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 May 21, 2021.

F2 · balance_after: Includes 104,000 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 14, 2022 Filed Feb 15, 2022 01:52 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-009577 · 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 · 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.

F1 · 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.

Read SEC document
February 14, 2022 Filed Feb 15, 2022 01:52 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 787 $4.02 $3,163.74
Disclosure

SEC source: 0001209191-22-009577 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,166

F3 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 787 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

F2 · balance_after: Includes 110,667 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 14, 2022 Filed Feb 15, 2022 01:52 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-009577 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,953

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 · balance_after: Includes 110,667 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 11, 2022 Filed Feb 12, 2022 00:54 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-009036 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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.

F1 · 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.

Read SEC document
February 11, 2022 Filed Feb 12, 2022 00:54 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 790 $4.07 $3,215.30
Disclosure

SEC source: 0001209191-22-009036 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,453

F3 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 790 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

F2 · balance_after: Includes 110,667 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

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February 11, 2022 Filed Feb 12, 2022 00:54 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-009036 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,243

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 · balance_after: Includes 110,667 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

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February 03, 2022 Filed Feb 8, 2022 01:05 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 64,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-007629 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,743

F1 · shares: Represents 64,000 restricted stock units awarded to the Reporting Person under the Issuer's 2017 Equity Incentive Plan, as amended (the "Plan"), in connection with the Reporting Person's service as an executive officer of the Issuer, which restricted stock units are subject to vesting conditions.

F2 · balance_after: Includes 110,667 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

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November 12, 2021 Filed Nov 15, 2021 22:10 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 2,719 $5.26 $14,301.94
Disclosure

SEC source: 0001209191-21-064510 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,743

F1 · kind: The Reporting Person forfeited 2,719 shares of common stock upon conversion of 6,667 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 May 21, 2021.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 22:55 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-051692 · doc4.xml · derivative · entry 6

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

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.

F1 · 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.

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August 12, 2021 Filed Aug 16, 2021 22:55 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 729 $5.85 $4,264.65
Disclosure

SEC source: 0001209191-21-051692 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,462

F3 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 729 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 22:55 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-051692 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,191

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.

Read SEC document
August 10, 2021 Filed Aug 16, 2021 22:55 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-051692 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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.

F1 · 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.

Read SEC document
August 10, 2021 Filed Aug 16, 2021 22:55 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 761 $6.37 $4,847.57
Disclosure

SEC source: 0001209191-21-051692 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,691

F2 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 761 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

Read SEC document
August 10, 2021 Filed Aug 16, 2021 22:55 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-051692 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,452

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.

Read SEC document
June 18, 2021 Filed Jun 22, 2021 21:36 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 2,659 $4.87 $12,949.33
Disclosure

SEC source: 0001209191-21-042467 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,952

F1 · kind: The Reporting Person forfeited 2,659 shares of common stock upon conversion of 6,666 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 May 21, 2021.

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May 19, 2021 Filed May 21, 2021 22:11 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 60,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-035065 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,611

F1 · shares: Represents 60,000 restricted stock units awarded to the Reporting Person under the Issuer's 2017 Equity Incentive Plan, as amended (the "Plan"), in connection with the Reporting Person's service as an executive officer of the Issuer, certain of which restricted stock units are subject to vesting conditions.

Read SEC document
February 22, 2021 Filed Feb 25, 2021 00:08 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-013991 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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.

F1 · 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.

Read SEC document
February 22, 2021 Filed Feb 25, 2021 00:08 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-013991 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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.

F1 · 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.

Read SEC document
February 22, 2021 Filed Feb 25, 2021 00:08 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 914 $6.21 $5,675.94
Disclosure

SEC source: 0001209191-21-013991 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,611

F3 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 914 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

Read SEC document
February 22, 2021 Filed Feb 25, 2021 00:08 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-013991 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,525

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.

Read SEC document
February 22, 2021 Filed Feb 25, 2021 00:08 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 912 $6.17 $5,627.04
Disclosure

SEC source: 0001209191-21-013991 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,025

F2 · kind: The reporting person received 2,500 shares of common stock upon vesting of the Restricted Stock Units, as reported in this Form 4. The reporting person forfeited 912 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture.

Read SEC document
February 22, 2021 Filed Feb 25, 2021 00:08 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-013991 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,937

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.

Read SEC document
November 13, 2020 Filed Nov 18, 2020 01:54 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantRestricted Stock Unit · Derivative 40,000 $0.00 $0.00
Disclosure

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.

Read SEC document
September 15, 2020 Filed Sep 16, 2020 21:48 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 4,164 $0.00 $0.00
Disclosure

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.

Read SEC document
September 15, 2020 Filed Sep 16, 2020 21:48 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Exercise / conversionRestricted Stock Unit · Derivative 4,164 $0.00 $0.00
Disclosure

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.

Read SEC document
September 15, 2020 Filed Sep 16, 2020 21:48 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 3,123 $2.30 $7,182.90
Disclosure

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.

Read SEC document
September 15, 2020 Filed Sep 16, 2020 21:48 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 3,123 $2.30 $7,182.90
Disclosure

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.

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.