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ONE STOP SYSTEMS, INC. — Director's Dealing 2018
Jan 31, 2018
34051_dirs_2018-01-31_ad675e58-2534-444e-bb0f-9005c47c379a.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: Ison Jim (Vice President of Sales)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 65750 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $0.76 | 2021-12-06 | Common Stock (3250) | Direct | |
| Employee Stock Option (right to buy) | $0.76 | 2022-09-30 | Common Stock (40000) | Direct | |
| Employee Stock Option (right to buy) | $0.46 | 2024-07-15 | Common Stock (50000) | Direct | |
| Employee Stock Option (right to buy) | $1.08 | 2026-04-01 | Common Stock (25000) | Direct | |
| Employee Stock Option (right to buy) | $1.95 | 2027-04-17 | Common Stock (20000) | Direct |
Footnotes
F1: The option is fully vested. The original grant for 30,000 shares was exercised for 26,750 shares on a quarterly basis between September 30, 2014 and September 30, 2017.
F2: The option is fully vested.
F3: The option is exercisable as it vests. 1/3 of the shares subject to the option vested on April 2, 2017, and 1/12th of the total number of shares subject to the option vest quarterly thereafter, subject to the reporting person's continued service to the issuer through each such vesting date.
F4: The option is exercisable as it vests. 1/3 of the shares subject to the option will vest on April 18, 2018, and 1/12th of the total number of shares subject to the option vest quarterly thereafter, subject to the reporting person's continued service to the issuer through each such vesting date.