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ONE STOP SYSTEMS, INC. — Director's Dealing 2019
Sep 24, 2019
34051_dirs_2019-09-24_0c287b08-275c-4cb8-807d-5667fd2253e5.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: 2019-09-20
Reporting Person: Ison Jim (VP of Sales and Marketing)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-09-20 | Common Stock | F | 722 | $2.68 | Acquired | 9359 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-09-20 | Restricted Stock Unit | $ | M | 833 | Disposed | Common Stock (833) | Direct |
Footnotes
F1: Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 722 shares of common stock on the net stock issuance of 833 shares of common stock. The reporting person forfeited 111 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on September 19, 2019 of $2.68.
F2: Restricted stock units convert into common stock on a one-for-one basis.
F3: On April 11, 2018, the reporting person was granted 10,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date.