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 |
|---|---|---|---|---|---|---|
| December 03, 2019 Filed Dec 3, 2019 19:44 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 3,610 | $1.80 | $6,498.00 |
DisclosureSEC source: 0001209191-19-058893 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,110 Read SEC document |
| November 27, 2019 Filed Dec 3, 2019 19:44 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 1,000 | $1.86 | $1,860.00 |
DisclosureSEC source: 0001209191-19-058893 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,500 Read SEC document |
| April 11, 2019 Filed Apr 16, 2019 18:38 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-024813 · 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 April 11, 2018, 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 April 11, 2018, the reporting person was granted 7,500 restricted stock units vesting one (1) year following the date of the grant. Read SEC document |
| April 11, 2019 Filed Apr 16, 2019 18:38 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-024813 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,500 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 |
| April 04, 2019 Filed Jun 6, 2019 13:54 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantCommon Stock Purchase Warrant · Derivative | 13,953 | $2.15 Strike: $2.15 | $29,998.95 |
DisclosureSEC source: 0001209191-19-034992 · doc4.xml · derivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 13,953 Underlying: Common Stock · 13,953 shares Expires 2024-04-04 F1 · ownership.nature: The Common Stock Purchase Warrant is held directly by the Raun Family Trust and indirectly by Dave Raun as Trustee of the Trust. Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 16:54 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.00 | $5,000.00 |
DisclosureSEC source: 0001209191-19-021789 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 16:54 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 5,000 | $2.05 | $10,250.00 |
DisclosureSEC source: 0001209191-19-021789 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Read SEC document |
| February 13, 2019 Filed Mar 21, 2019 19:30 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-020861 · doc4.xml · derivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on February 13, 2019 was $2.43. F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 20:37 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 2,500 | $2.05 | $5,125.00 |
DisclosureSEC source: 0001209191-19-000549 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 F1 · price: These shares were purchased in multiple transactions on the same day at a price of $2.05 per share, inclusive. The reporting person undertakes to provide One Stop Systems, Inc., any security holder of One Stop Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased in each transaction at the price set forth in this footnote (1) to this Form 4. Read SEC document |
| December 27, 2018 Filed Dec 27, 2018 19:43 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 5,000 | $2.11 | $10,525.00 |
DisclosureSEC source: 0001209191-18-064225 · doc4.xml · nonDerivative · entry 2 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F2 · price: The reporting person undertakes to provide One Stop Systems, Inc., any security holder of One Stop Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (3) to this Form 4. F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.10 to $2.11 per share, inclusive. Read SEC document |
| December 21, 2018 Filed Dec 27, 2018 19:43 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 5,000 | $2.09 | $10,425.00 |
DisclosureSEC source: 0001209191-18-064225 · doc4.xml · nonDerivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.08 to $2.09 per share, inclusive. F2 · price: The reporting person undertakes to provide One Stop Systems, Inc., any security holder of One Stop Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (3) to this Form 4. Read SEC document |
| April 11, 2018 Filed Apr 13, 2018 20:15 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-024881 · doc4.xml · derivative · entry 1 RAUN DAVID · CIK 0001219078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of OSS common stock. The closing price of OSS on April 11, 2018 was $4.17. F2 · derivative.exercise_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. F2 · derivative.expiration_date: Vesting date is one (1) year following the date of the Restricted Stock Unit Grant. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.