Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ONE STOP SYSTEMS, INC.OSS · Entity 2767 | Director | April 01, 2024 | April 03, 2024 |
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 April 01, 2024 · Filed April 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 425,597 |
Reported balance
After 2024-04-01 transaction · row 1
1 source rowRow 1 · 2024-04-01 · Exercise / conversion · Acquired 13,953 · Balance 425,597 |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.15 · Expires 2024-04-04 | IndirectBy Trust | 0 |
Reported balance
After 2024-04-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-04-01 · Exercise / conversion · Disposed 13,953 · Balance 0 F1: The Warrant is held directly by the Raun Family Trust and indirectly by Dave Raun as Trustee of the Trust. |
Filing footnotes · ownership attribution and instrument terms
F1: The Warrant is held directly by the Raun Family Trust and indirectly by Dave Raun as Trustee of the Trust.
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 |
|---|---|---|---|---|---|---|
| April 01, 2024 Filed Apr 3, 2024 19:34 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionWarrant (right to buy) · Derivative | 13,953 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001209191-24-005220 · doc4.xml · derivative · entry 2 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 13,953 shares Expires 2024-04-04 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: The Warrant is held directly by the Raun Family Trust and indirectly by Dave Raun as Trustee of the Trust. Read SEC document |
| April 01, 2024 Filed Apr 3, 2024 19:34 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 13,953 | $2.15 | $29,998.95 |
DisclosureSEC source: 0001209191-24-005220 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 425,597 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 |
| August 14, 2023 Filed Aug 15, 2023 19:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 5,000 | $1.97 | $9,850.00 |
DisclosureSEC source: 0001209191-23-045921 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 411,644 F1 · price: The price reported on Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.96 to $1.98, inclusive. The reporting person undertakes to provide to One Stop Systems, Inc., any security holder of One Stop Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the footnote to this Form 4. Read SEC document |
| June 23, 2023 Filed Jun 27, 2023 20:18 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 7,434 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-039977 · doc4.xml · derivative · entry 3 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,434 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 shares of common stock on a one-for-one basis. F3 · derivative.exercise_date: The restricted stock units ("RSUs") were scheduled to vest over three years, with 1/3 of the RSUs vesting following the one-year anniversary of the date of grant, and the remaining RSUs vesting in four equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. In connection with the termination of the Reporting Person's employment as President and CEO of the Issuer, vesting of 7,434 RSUs was accelerated and the remaining RSUs were automatically forfeited as of the date of such termination. F3 · derivative.expiration_date: The restricted stock units ("RSUs") were scheduled to vest over three years, with 1/3 of the RSUs vesting following the one-year anniversary of the date of grant, and the remaining RSUs vesting in four equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. In connection with the termination of the Reporting Person's employment as President and CEO of the Issuer, vesting of 7,434 RSUs was accelerated and the remaining RSUs were automatically forfeited as of the date of such termination. Read SEC document |
| June 23, 2023 Filed Jun 27, 2023 20:18 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 2,917 | $2.95 | $8,605.15 |
DisclosureSEC source: 0001209191-23-039977 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 406,644 F2 · kind: The Reporting Person received 7,434 shares of common stock upon vesting of the restricted stock units, as reported in this Form 4. The Reporting Person forfeited 2,917 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 |
| June 23, 2023 Filed Jun 27, 2023 20:18 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 7,434 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-039977 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 409,561 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 shares of common stock on a one-for-one basis. Read SEC document |
| June 16, 2023 Filed Jun 21, 2023 20:26 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 68,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-038948 · doc4.xml · derivative · entry 4 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 68,688 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 shares of common stock on a one-for-one basis. F6 · derivative.exercise_date: The restricted stock units ("RSUs") were scheduled to vest over three years, with 1/3 of the RSUs vesting following the one-year anniversary of the date of grant, and the remaining RSUs vesting in four equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. In connection with the termination of the Reporting Person's employment as President and CEO of the Issuer, vesting of the remaining RSUs accelerated and the RSUs became fully vested as of the date of such termination. F6 · derivative.expiration_date: The restricted stock units ("RSUs") were scheduled to vest over three years, with 1/3 of the RSUs vesting following the one-year anniversary of the date of grant, and the remaining RSUs vesting in four equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. In connection with the termination of the Reporting Person's employment as President and CEO of the Issuer, vesting of the remaining RSUs accelerated and the RSUs became fully vested as of the date of such termination. Read SEC document |
| June 16, 2023 Filed Jun 21, 2023 20:26 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Disposition to issuerCommon Stock | 59,566 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-038948 · doc4.xml · nonDerivative · entry 3 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 402,127 F5 · kind: The Reporting Person forfeited 59,566 unvested restricted stock units in connection with the termination of the Reporting Person's employment as President and CEO of the Issuer. As a result, the Reporting Person no longer holds any unvested restricted stock units. Read SEC document |
| June 16, 2023 Filed Jun 21, 2023 20:26 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 52,883 | $2.95 | $156,004.85 |
DisclosureSEC source: 0001209191-23-038948 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 461,693 F3 · kind: The Reporting Person forfeited 52,883 shares of common stock upon conversion of 143,122 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, 68,688 of which restricted stock units were reported in Table II and the remaining 74,434 restricted stock units were reported in Table I, using the market price of the Issuer's common stock at the time of forfeiture. F4 · balance_after: Includes 59,566 unvested restricted stock units held by the Reporting Person, which remain subject to certain vesting conditions. Read SEC document |
| June 16, 2023 Filed Jun 21, 2023 20:26 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 68,688 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-038948 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 514,576 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 shares of common stock on a one-for-one basis. F2 · balance_after: Includes 134,000 unvested restricted stock units held by the Reporting Person, which remain subject to certain vesting conditions. Read SEC document |
| February 08, 2023 Filed Feb 10, 2023 19:19 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 24,757 | $3.50 | $86,649.50 |
DisclosureSEC source: 0001209191-23-008534 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,645 F1 · kind: The Reporting Person forfeited 24,757 shares of common stock upon conversion of 67,000 vested and outstanding Restricted Stock Units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These Restricted Stock Units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on March 21, 2022. F2 · balance_after: Includes 134,000 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions. Read SEC document |
| January 04, 2023 Filed Jan 6, 2023 17:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 68,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-002430 · doc4.xml · derivative · entry 3 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,687 Underlying: Common Stock · 68,687 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 shares of common stock on a one-for-one basis. F4 · derivative.exercise_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. F4 · derivative.expiration_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. Read SEC document |
| January 04, 2023 Filed Jan 6, 2023 17:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 28,626 | $2.93 | $83,874.18 |
DisclosureSEC source: 0001209191-23-002430 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 470,645 F3 · kind: The Reporting Person received 68,687 shares of common stock upon vesting of the restricted stock units, as reported in this Form 4. The Reporting Person forfeited 28,626 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 201,000 unvested restricted stock units held by the Reporting Person, which remain subject to certain vesting conditions. Read SEC document |
| January 04, 2023 Filed Jan 6, 2023 17:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 68,687 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-002430 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 499,271 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 shares of common stock on a one-for-one basis. F2 · balance_after: Includes 201,000 unvested restricted stock units held by the Reporting Person, which remain subject to certain vesting conditions. Read SEC document |
| June 29, 2022 Filed Jun 30, 2022 19:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 68,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-039967 · doc4.xml · derivative · entry 3 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,374 Underlying: Common Stock · 68,688 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 shares of common stock on a one-for-one basis. F4 · derivative.exercise_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. F4 · derivative.expiration_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. Read SEC document |
| June 29, 2022 Filed Jun 30, 2022 19:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 29,655 | $3.96 | $117,433.80 |
DisclosureSEC source: 0001209191-22-039967 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,584 F3 · kind: The Reporting Person received 68,688 shares of common stock upon vesting of the restricted stock units, as reported in this Form 4. The Reporting Person forfeited 29,655 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 201,000 unvested restricted stock units held by the Reporting Person, which remain subject to certain vesting conditions. Read SEC document |
| June 29, 2022 Filed Jun 30, 2022 19:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 68,688 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-039967 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 460,239 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 shares of common stock on a one-for-one basis. F2 · balance_after: Includes 201,000 unvested restricted stock units held by the Reporting Person, which remain subject to certain vesting conditions. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 21:17 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantCommon Stock | 201,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-020440 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,551 F1 · shares: Represents 201,000 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 President and Chief Executive Officer of the Issuer, which restricted stock units are subject to the following vesting conditions: 1/3 of the RSUs will vest on February 4, 2023, and the remaining RSUs shall vest in four equal installments, commencing six months after February 4, 2023, and every six months thereafter until fully vested, provided that reporting person is still employed on each such vesting date. F2 · balance_after: Includes 201,000 unvested restricted stock units held by the Reporting Person, which remain subject to those vesting conditions set forth in Footnote 1 to this Form 4. Read SEC document |
| December 23, 2021 Filed Dec 23, 2021 19:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 68,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-071179 · doc4.xml · derivative · entry 3 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,062 Underlying: Common Stock · 68,688 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 shares of common stock on a one-for-one basis. F3 · derivative.exercise_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. F3 · derivative.expiration_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. Read SEC document |
| December 23, 2021 Filed Dec 23, 2021 19:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 36,096 | $4.64 | $167,485.44 |
DisclosureSEC source: 0001209191-21-071179 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,551 F2 · kind: The Reporting Person received 68,688 shares of common stock upon vesting of the restricted stock units, as reported in this Form 4. The Reporting Person forfeited 36,096 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 |
| December 23, 2021 Filed Dec 23, 2021 19:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 68,688 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-071179 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,647 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 shares of common stock on a one-for-one basis. Read SEC document |
| November 22, 2021 Filed Nov 22, 2021 18:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stocik | 2,000 | $5.00 | $10,000.00 |
DisclosureSEC source: 0001209191-21-066194 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,959 Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 18:22 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,000 | $5.45 | $10,900.00 |
DisclosureSEC source: 0001209191-21-052622 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,959 Read SEC document |
| July 09, 2021 Filed Jul 12, 2021 19:15 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 137,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-046359 · doc4.xml · derivative · entry 3 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,750 Underlying: Common Stock · 137,375 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 shares of common stock on a one-for-one basis. F3 · derivative.exercise_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. F3 · derivative.expiration_date: The restricted stock units ("RSUs") shall vest over three 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 equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. Read SEC document |
| July 09, 2021 Filed Jul 12, 2021 19:15 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 66,960 | $6.06 | $405,777.60 |
DisclosureSEC source: 0001209191-21-046359 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,959 F2 · kind: The Reporting Person received 137,375 shares of common stock upon vesting of the restricted stock units, as reported in this Form 4. The Reporting Person forfeited 66,960 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 |
| July 09, 2021 Filed Jul 12, 2021 19:15 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 137,375 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-046359 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,919 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 shares of common stock on a one-for-one basis. Read SEC document |
| March 31, 2021 Filed Mar 31, 2021 18:50 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,000 | $6.07 | $12,140.00 |
DisclosureSEC source: 0001209191-21-023852 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,544 Read SEC document |
| February 11, 2021 Filed Feb 17, 2021 06:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-011127 · doc4.xml · derivative · entry 4 RAUN DAVID · CIK 0001219078 · Director · President and CEO 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. F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units that vested on February 11, 2021. F3 · derivative.expiration_date: On March 4, 2020, the reporting person was granted 10,000 restricted stock units that vested on February 11, 2021. Read SEC document |
| February 11, 2021 Filed Feb 17, 2021 06:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 8,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-011127 · doc4.xml · derivative · entry 3 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,634 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: On August 3, 2020, the reporting person was granted 8,634 fully-vested restricted stock units that settled on February 11, 2021. F2 · derivative.expiration_date: On August 3, 2020, the reporting person was granted 8,634 fully-vested restricted stock units that settled on February 11, 2021. Read SEC document |
| February 11, 2021 Filed Feb 17, 2021 06:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-011127 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,544 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 11, 2021 Filed Feb 17, 2021 06:00 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 8,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-011127 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,544 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 18, 2020 Filed Nov 18, 2020 16:56 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.22 | $5,550.00 |
DisclosureSEC source: 0001209191-20-059153 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,910 Read SEC document |
| November 18, 2020 Filed Nov 18, 2020 16:56 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.24 | $5,600.00 |
DisclosureSEC source: 0001209191-20-059153 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,410 Read SEC document |
| August 18, 2020 Filed Aug 19, 2020 20:18 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.28 | $5,700.00 |
DisclosureSEC source: 0001209191-20-047648 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,910 Read SEC document |
| August 18, 2020 Filed Aug 19, 2020 20:18 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.30 | $5,750.00 |
DisclosureSEC source: 0001209191-20-047648 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,410 Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 21:08 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 8,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-045405 · doc4.xml · derivative · entry 1 RAUN DAVID · CIK 0001219078 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,634 Underlying: Common Stock · 8,634 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock. The closing price of the issuer on August 3, 2020 was $2.48. F2 · derivative.exercise_date: On August 3, 2020, the reporting person was granted 8,634 fully-vested restricted stock units which will be settled on February 10, 2021. F2 · derivative.expiration_date: On August 3, 2020, the reporting person was granted 8,634 fully-vested restricted stock units which will be settled on February 10, 2021. Read SEC document |
| June 25, 2020 Filed Jun 30, 2020 19:33 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.05 | $5,120.25 |
DisclosureSEC 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 Read SEC document |
| June 25, 2020 Filed Jun 30, 2020 19:33 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.02 | $5,050.00 |
DisclosureSEC 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 Read SEC document |
| June 24, 2020 Filed Jun 25, 2020 10:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantEmployee Stock Option (right to buy) · Derivative | 412,125 | $0.00 Strike: $2.14 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 24, 2020 Filed Jun 25, 2020 10:23 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 412,125 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 17:32 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 12, 2020 Filed Feb 13, 2020 17:29 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Unit · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009360 · doc4.xml · derivative · entry 2 RAUN DAVID · CIK 0001219078 · 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. F2 · 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. F2 · 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 13, 2020 17:29 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-009360 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,910 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 |
| December 16, 2019 Filed Dec 16, 2019 18:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 289 | $1.73 | $499.97 |
DisclosureSEC source: 0001209191-19-060745 · doc4.xml · nonDerivative · entry 4 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,410 Read SEC document |
| December 16, 2019 Filed Dec 16, 2019 18:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 1,711 | $1.72 | $2,942.92 |
DisclosureSEC source: 0001209191-19-060745 · doc4.xml · nonDerivative · entry 3 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,121 Read SEC document |
| December 16, 2019 Filed Dec 16, 2019 18:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 300 | $1.71 | $513.00 |
DisclosureSEC source: 0001209191-19-060745 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,410 Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 18:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 1,000 | $1.70 | $1,700.00 |
DisclosureSEC source: 0001209191-19-060745 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,110 Read SEC document |
| December 10, 2019 Filed Dec 10, 2019 19:47 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 100 | $1.77 | $177.11 |
DisclosureSEC source: 0001209191-19-059951 · doc4.xml · nonDerivative · entry 3 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,110 Read SEC document |
| December 10, 2019 Filed Dec 10, 2019 19:47 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,400 | $1.78 | $4,274.64 |
DisclosureSEC source: 0001209191-19-059951 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,010 Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 19:47 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $1.75 | $4,375.00 |
DisclosureSEC source: 0001209191-19-059951 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,610 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.