AI assistant
ONE STOP SYSTEMS, INC. — Director's Dealing 2018
Jan 31, 2018
34051_dirs_2018-01-31_130c5c96-3887-490f-8623-fb542a396ca7.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ONE STOP SYSTEMS INC (OSS)
CIK: 0001394056
Period of Report: 2018-01-31
Reporting Person: Cooper Steve D (Director, President, CEO, 10% Owner)
Reporting Person: Cooper Revocable Trust dated April 25, 2001 (Trustee)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2988116 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $1.10 | 2018-03-31 | Common Stock (100000) | Direct | |
| Employee Stock Option (right to buy) | $0.825 | 2019-05-13 | Common Stock (100000) | Direct | |
| Employee Stock Option (right to buy) | $0.76 | 2021-12-06 | Common Stock (200000) | Direct | |
| Employee Stock Option (right to buy) | $0.836 | 2022-01-17 | Common Stock (100000) | Direct | |
| Employee Stock Option (right to buy) | $0.46 | 2024-07-15 | Common Stock (180000) | Direct | |
| Employee Stock Option (right to buy) | $1.08 | 2026-04-01 | Common Stock (90000) | Direct | |
| Employee Stock Option (right to buy) | $1.95 | 2027-04-17 | Common Stock (45000) | Direct |
Footnotes
F1: 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.
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.