James Ison - 18 Aug 2023 Form 4 Insider Report for ONE STOP SYSTEMS, INC. (OSS)

Role
CPO
Signature
/s/James Ison
Issuer symbol
OSS
Transactions as of
18 Aug 2023
Transactions value $
$7,800
Form type
4
Filing time
22 Aug 2023, 18:44:11 UTC
Previous filing
18 Aug 2023
Next filing
20 Nov 2023
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 $6.71K +14.6K +10.35% $0.46 156K 18 Aug 2023 By Trust F1
transaction OSS Common Stock Options Exercise $1.09K +1.01K +0.65% $1.08 157K 18 Aug 2023 By Trust F1
holding OSS Common Stock 116K 18 Aug 2023 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 -14.6K -100% $0.00* 0 18 Aug 2023 Common Stock 14.6K $0.46 Direct F3
transaction OSS Employee Stock Option (right to buy) Options Exercise $0 -1.01K -4.04% $0.00 24K 18 Aug 2023 Common Stock 1.01K $1.08 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. & Sha-Marie A Ison TR UA 06 04 2020 James J. Ison Jr. & Sha-Marie A Ison Inter Vivos Revocable Trust (the "Trust"), of which the Reporting Person is trustee. The Reporting Person and members of his immediate family are the sole beneficiaries of the Trust.
F2 Includes 115,667 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.
F3 The option is fully vested.