Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ONE STOP SYSTEMS, INC.OSS · Entity 2767 | 10% owner | January 22, 2024 | January 24, 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 January 22, 2024 · Filed January 24, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| One Stop Systems, IncSEC Table I · non-derivative | IndirectShares owned directly by Cooper Revocable Trust dated April 25, 2001, a ten percent owner | 1,923,572 |
Reported balance
After 2024-01-22 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-01-22 · Sale · Disposed 206,040 · Balance 1,923,572 |
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 |
|---|---|---|---|---|---|---|
| February 13, 2020 Filed Feb 18, 2020 16:07 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 70,593 | $0.46 | $32,472.78 |
DisclosureSEC source: 0001209191-20-010049 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 3,060,673 F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 70,593 shares of common stock on net exercise of option to purchase 180,000 shares of common stock. The reporting person forfeited 109,407 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on February 13, 2020 of $2.73. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is a director of the issuer. Read SEC document |
| September 20, 2019 Filed Sep 25, 2019 18:10 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Unit · Derivative | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-050728 · doc4.xml · derivative · entry 2 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 15,000 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. F3 · 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 1/12, 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. 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 1/12, 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. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| September 20, 2019 Filed Sep 25, 2019 18:10 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 1,967 | $2.68 | $5,271.56 |
DisclosureSEC source: 0001209191-19-050728 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,990,080 F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 1,967 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 533 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on September 19, 2019 of $2.68. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| August 16, 2019 Filed Aug 21, 2019 20:51 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Unit · Derivative | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-047068 · doc4.xml · derivative · entry 4 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 17,500 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. F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F6 · 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 1/12, 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. F6 · 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 1/12, 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. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| August 16, 2019 Filed Aug 21, 2019 20:51 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Unit · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-047068 · doc4.xml · derivative · entry 3 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 25,000 Underlying: Common Stock · 5,000 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. F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F5 · 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. F5 · 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. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| August 16, 2019 Filed Aug 21, 2019 20:51 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 2,159 | $1.65 | $3,562.35 |
DisclosureSEC source: 0001209191-19-047068 · doc4.xml · nonDerivative · entry 2 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,988,113 F3 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 2,159 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 341 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 12, 2019 of $1.65. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| August 16, 2019 Filed Aug 21, 2019 20:51 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 3,803 | $1.65 | $6,274.95 |
DisclosureSEC source: 0001209191-19-047068 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,985,954 F1 · kind: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 3,803 shares of common stock on the net stock issuance of 5,000 shares of common stock. The reporting person forfeited 1,197 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on August 12, 2019 of $1.65. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 12:51 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | PurchaseCommon Stock | 15,000 | $1.74 | $26,064.00 |
DisclosureSEC source: 0001209191-19-036034 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,982,151 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.725 to $1.7399 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 footnote (1) to this Form 4. F3 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| May 08, 2019 Filed May 24, 2019 18:54 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001209191-19-032827 · doc4.xml · derivative · entry 2 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2019-05-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The option is fully vested. Read SEC document |
| May 08, 2019 Filed May 24, 2019 18:54 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 33,485 | $0.75 | $25,113.75 |
DisclosureSEC source: 0001209191-19-032827 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,967,151 F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 33,485 shares of common stock on net exercise of option to purchase 100,000 shares of common stock. The reporting person forfeited 66,515 shares of common stock underlying the option in payment of the exercise price and to cover tax withholdings, using the closing stock price on May 8, 2019 of $2.38. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| April 11, 2019 Filed Apr 15, 2019 19:16 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-024649 · doc4.xml · derivative · entry 3 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 5,000 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 April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date. F3 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date. Read SEC document |
| April 11, 2019 Filed Apr 15, 2019 19:16 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 1,728 | $2.51 | $4,337.28 |
DisclosureSEC source: 0001209191-19-024649 · doc4.xml · nonDerivative · entry 2 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 2,933,666 F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| April 11, 2019 Filed Apr 15, 2019 19:16 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-024649 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 2,935,394 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units convert into common stock on a one-for-one basis. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| February 13, 2019 Filed Mar 21, 2019 19:57 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-020879 · doc4.xml · derivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 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 February 13, 2019 was $2.43. 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 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. 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 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 29, 2018 Filed Dec 12, 2018 20:01 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-062335 · doc4.xml · derivative · entry 3 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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. F2 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date. F2 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date. Read SEC document |
| October 29, 2018 Filed Dec 12, 2018 20:01 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 627 | $3.54 | $2,219.58 |
DisclosureSEC source: 0001209191-18-062335 · doc4.xml · nonDerivative · entry 2 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,930,394 Read SEC document |
| October 29, 2018 Filed Dec 12, 2018 20:01 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-062335 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,931,021 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 28, 2018 Filed Aug 30, 2018 18:57 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionRestricted Stock Units · Derivative | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-049017 · doc4.xml · derivative · entry 3 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,500 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. F2 · derivative.exercise_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date. F2 · derivative.expiration_date: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date. Read SEC document |
| August 28, 2018 Filed Aug 30, 2018 18:57 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 675 | $4.70 | $3,172.50 |
DisclosureSEC source: 0001209191-18-049017 · doc4.xml · nonDerivative · entry 2 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,928,521 Read SEC document |
| August 28, 2018 Filed Aug 30, 2018 18:57 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionCommon Stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-049017 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,929,196 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 11, 2018 Filed Apr 13, 2018 20:11 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | GrantRestricted Stock Unit · Derivative | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-024877 · doc4.xml · derivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 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 April 11, 2018 was $4.17. 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 1/12, 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. 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 1/12, 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. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:14 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019432 · doc4.xml · derivative · entry 2 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2018-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:14 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | Tax withholdingCommon Stock | 38,580 | $1.00 | $38,580.00 |
DisclosureSEC source: 0001209191-18-019432 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,926,696 F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 38,580 shares of common stock on net exercise of option to purchase 100,000 shares of common stock. The reporting person forfeited 16,393 shares of common stock underlying the option in payment of the exercise price and 45,027 shares of common stock to cover tax withholdings, using the closing stock price on March 9, 2018 of $6.10. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. Read SEC document |
| February 09, 2018 Filed Feb 9, 2018 18:31 UTC | ONE STOP SYSTEMS, INC. OSS · Entity 2767 | SaleCommon Stock | 100,000 | $5.00 | $500,000.00 |
DisclosureSEC source: 0001209191-18-008990 · doc4.xml · nonDerivative · entry 1 Cooper Steve D · CIK 0001729851 · Director · President, CEO · 10% owner Cooper Revocable Trust dated April 25, 2001 · CIK 0001729938 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 2,888,116 F1 · shares: On February 9, 2018, the underwriters of One Stop Systems' initial public offering (the "IPO") partially exercised their over-allotment option to purchase 100,000 shares of common stock from the Cooper Revocable Trust, dated April 25, 2001. The transaction closed on February 9, 2018. The underwriters still have an option to purchase up to an additional 185,000 shares of common stock from the trust to cover additional over-allotments, if any. F2 · ownership.nature: These shares are owned directly by the Cooper Revocable Trust dated April 25, 2001, a ten percent owner of the issuer, and indirectly by Steve Cooper as trustee of the trust. Steve Cooper is an officer and director of the issuer. 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.