James Ison - 06 Jan 2022 Form 4 Insider Report for ONE STOP SYSTEMS, INC. (OSS)

Role
Chief Sales/Marketing Officer
Signature
/s/James Ison
Issuer symbol
OSS
Transactions as of
06 Jan 2022
Transactions value $
$5,200
Form type
4
Filing time
10 Jan 2022, 18:21:05 UTC
Previous filing
15 Nov 2021
Next filing
07 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OSS Common Stock Options Exercise $3.11K +4.09K +6.9% $0.76 63.4K 06 Jan 2022 By Trust F1
transaction OSS Common Stock Options Exercise $2.09K +4.54K +7.17% $0.46 67.9K 06 Jan 2022 By Trust F1
holding OSS Common Stock 41.7K 06 Jan 2022 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction OSS Employee Stock Option (right to buy) Options Exercise $0 -4.09K -100% $0.00* 0 06 Jan 2022 Common Stock 4.09K $0.76 Direct F3
transaction OSS Employee Stock Option (right to buy) Options Exercise $0 -4.54K -9.09% $0.00 45.5K 06 Jan 2022 Common Stock 4.54K $0.46 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares are owned directly by James J Ison Jr. and Sha-Marie A Ison Inter Vivos Revocable Trust dated June 4, 2020, and indirectly by James Ison as trustee of the trust.
F2 Consists of 41,667 unvested restricted stock units held by the reporting person, all of which remain subject to certain vesting conditions.
F3 The option is fully vested.