Form 4 for OSS ONE STOP SYSTEMS, INC.
Accepted 2021-08-16 00:00:00 ET · period of report 2021-08-10 · accession 0001209191-21-051694 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-08-16 | 2021-08-10+ | OSS | Ison James | Chief Sales, Marketing Off | M - OptEx | — | +4,166 | 39.1K | +12% | — |
| DMI | 2021-08-16 | 2021-08-10+ | OSS | Ison James | Chief Sales, Marketing Off | F - Tax | $6.18 | -1,259 | 37.4K | -3% | -$7,784 |
| DM | 2021-08-16 | 2021-08-10+ | OSS | Ison James | Chief Sales, Marketing Off | M - OptEx | $0.00 | -4,166 | 7,500 | -36% | $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 | — | 38,233 | I By Trust | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F2) These shares are owned directly by James J Ison Jr. and Sha-Marie A Ison Inter Vivos Revocable Trust dated June 4, 2020, and indirectly by James Ison as trustee of the trust. |
| 2 | Common | Common Stock | 2021-08-12 | F | D | 454 | $5.85 | 38,640 | I By Trust | — | — | (F2) These shares are owned directly by James J Ison Jr. and Sha-Marie A Ison Inter Vivos Revocable Trust dated June 4, 2020, and indirectly by James Ison as trustee of the trust. |
| 3 | Common | Common Stock | 2021-08-12 | M | A | 1,666 | — | 39,094 | I By Trust | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F2) These shares are owned directly by James J Ison Jr. and Sha-Marie A Ison Inter Vivos Revocable Trust dated June 4, 2020, and indirectly by James Ison as trustee of the trust. |
| 4 | Common | Common Stock | 2021-08-10 | F | D | 805 | $6.37 | 37,428 | I By Trust | — | — | (F2) These shares are owned directly by James J Ison Jr. and Sha-Marie A Ison Inter Vivos Revocable Trust dated June 4, 2020, and indirectly by James Ison as trustee of the trust. |
| 5 | Derivative | Restricted Stock Unit | 2021-08-12 | M | D | 1,666 | $0.00 | 1,666 | D | — · — to — | 1,666 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F5) 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 | 7,500 | D | — · — to — | 2,500 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F5) 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. |