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ONE STOP SYSTEMS, INC. — Director's Dealing 2018
Jan 31, 2018
34051_dirs_2018-01-31_8d2498b2-4207-46bf-9612-f475c668c5b3.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ONE STOP SYSTEMS INC (OSS)
CIK: 0001394056
Period of Report: 2018-01-31
Reporting Person: REARDON JOHN RALPH (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 124520 | Indirect |
| Common Stock | 110973 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $1.00 | 2018-03-31 | Common Stock (25000) | Direct | |
| Employee Stock Option (right to buy) | $0.75 | 2019-05-13 | Common Stock (25000) | Direct | |
| Employee Stock Option (right to buy) | $0.76 | 2021-12-06 | Common Stock (50000) | Direct | |
| Employee Stock Option (right to buy) | $0.76 | 2022-01-17 | Common Stock (25000) | Direct | |
| Employee Stock Option (right to buy) | $0.46 | 2024-07-15 | Common Stock (40000) | Direct | |
| Employee Stock Option (right to buy) | $1.08 | 2026-04-01 | Common Stock (20000) | Direct | |
| Employee Stock Option (right to buy) | $1.95 | 2027-04-14 | Common Stock (10000) | Direct |
Footnotes
F1: Mr. Reardon holds joint voting and investment control of the trust with his wife Dawn Reardon.
F2: Mr. Reardon has sole voting and investment control over The RTC Group, Inc.
F3: The option is fully vested.
F4: The option is exercisable as it vests. 1/4 of the shares subject to the option vested on July 18, 2017, 1/4 of the shares subject to the option vested on October 18, 2017, 1/4 of the shares subject to the option vested on January 18, 2018 and 1/4 of the shares subject to the option will vest on April 18, 2018, subject to the reporting person's continued service to the issuer through such vesting date.