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ONE STOP SYSTEMS, INC. — Director's Dealing 2019
Apr 15, 2019
34051_dirs_2019-04-15_2d4162dd-6ba3-4f8a-850f-67734e6b253e.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: 2019-04-11
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 |
|---|---|---|---|---|---|---|---|
| 2019-04-11 | Common Stock | M | 5000 | — | Acquired | 2935394 | Indirect |
| 2019-04-11 | Common Stock | F | 1728 | $2.51 | Disposed | 2933666 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-04-11 | Restricted Stock Units | $ | M | 5000 | Disposed | Common Stock (5000) | Direct |
Footnotes
F1: Restricted stock units convert into common stock on a one-for-one basis.
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.
F3: On April 11, 2018, the reporting person was granted 30,000 restricted stock units, vesting in twelve equal quarterly installments beginning the first quarter after the grant date.