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ONE STOP SYSTEMS, INC. — Director's Dealing 2018
Mar 13, 2018
34051_dirs_2018-03-13_881cdcbb-f082-486e-9791-d39866263b57.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ONE STOP SYSTEMS INC (OSS)
CIK: 0001394056
Period of Report: 2018-03-09
Reporting Person: Cooper Steve D (Director, President, CEO, 10% Owner)
Reporting Person: Cooper Revocable Trust dated April 25, 2001 (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-03-09 | Common Stock | F | 38580 | $1.00 | Acquired | 2926696 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-03-09 | Employee Stock Option (right to buy) | $1.00 | M | 100000 | Disposed | 2018-03-31 | Common Stock (100000) | Direct |
Footnotes
F1: 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: 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.