Form 4 for OSS ONE STOP SYSTEMS, INC.
Accepted 2021-08-16 00:00:00 ET · period of report 2021-08-10 · accession 0001209191-21-051692 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-16 | 2021-08-10+ | OSS | Morrison John W Jr. | CFO | M - OptEx | — | +5,000 | 131.2K | +4% | — |
| DM | 2021-08-16 | 2021-08-10+ | OSS | Morrison John W Jr. | CFO | F - Tax | $6.12 | -1,490 | 128.7K | -1% | -$9,112 |
| DM | 2021-08-16 | 2021-08-10+ | OSS | Morrison John W Jr. | CFO | M - OptEx | $0.00 | -5,000 | 2,500 | -67% | $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 | 2021-08-10 | M | A | 2,500 | — | 129,452 | D | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. |
| 2 | Common | Common Stock | 2021-08-12 | F | D | 729 | $5.85 | 130,462 | D | — | — | |
| 3 | Common | Common Stock | 2021-08-12 | M | A | 2,500 | — | 131,191 | D | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. |
| 4 | Common | Common Stock | 2021-08-10 | F | D | 761 | $6.37 | 128,691 | D | — | — | |
| 5 | Derivative | Restricted Stock Unit | 2021-08-12 | M | D | 2,500 | $0.00 | 0 | D | — · — to — | 2,500 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F4) Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant. |
| 6 | Derivative | Restricted Stock Unit | 2021-08-10 | M | D | 2,500 | $0.00 | 2,500 | D | — · — to — | 2,500 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F4) Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/6, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each six month period of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/6. This Restricted Stock Unit will be fully vested after three (3) years of service. The Initial Vesting Date shall be six months following the Date of Restricted Stock Unit Grant. |