Form 4 for OSS ONE STOP SYSTEMS, INC.
Accepted 2021-07-12 00:00:00 ET · period of report 2021-07-09 · accession 0001209191-21-046359 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-07-12 | 2021-07-09 | OSS | RAUN DAVID | Pres, CEO, Dir | F - Tax | $6.06 | -67.0K | 154.0K | -30% | -$405.8K |
| D | 2021-07-12 | 2021-07-09 | OSS | RAUN DAVID | Pres, CEO, Dir | M - OptEx | — | +137.4K | 220.9K | +164% | — |
| D | 2021-07-12 | 2021-07-09 | OSS | RAUN DAVID | Pres, CEO, Dir | M - OptEx | $0.00 | -137.4K | 274.8K | -33% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-09 | F | D | 66,960 | $6.06 | 153,959 | D | — | — | |
| 2 | Common | Common Stock | 2021-07-09 | M | A | 137,375 | — | 220,919 | D | — | — | (F1) Restricted stock units convert into shares of common stock on a one-for-one basis. |
| 3 | Derivative | Restricted Stock Units | 2021-07-09 | M | D | 137,375 | $0.00 | 274,750 | D | — · — to — | 137,375 Common Stock | (F1) Restricted stock units convert into shares of common stock on a one-for-one basis. (F3) The restricted stock units ("RSUs") shall vest over three years, with 1/3 of the RSUs vesting following the one-year anniversary of the date of grant, and the remaining RSUs shall vest in four equal installments, commencing six months after the one-year anniversary of the date of grant and every six months thereafter until fully vested, provided that grantee is still employed on each such vesting date. |