0001209191-23-056397.txt : 20231121 0001209191-23-056397.hdr.sgml : 20231121 20231121194155 ACCESSION NUMBER: 0001209191-23-056397 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231121 FILED AS OF DATE: 20231121 DATE AS OF CHANGE: 20231121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ison James CENTRAL INDEX KEY: 0001729652 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38371 FILM NUMBER: 231429694 MAIL ADDRESS: STREET 1: 2235 ENTERPRISE STREET STE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 FORMER NAME: FORMER CONFORMED NAME: Ison Jim DATE OF NAME CHANGE: 20180129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ONE STOP SYSTEMS, INC. CENTRAL INDEX KEY: 0001394056 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 330885351 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2235 ENTERPRISE ST STE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 BUSINESS PHONE: 760-745-9883 MAIL ADDRESS: STREET 1: 2235 ENTERPRISE ST STE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 FORMER COMPANY: FORMER CONFORMED NAME: ONE STOP SYSTEMS INC DATE OF NAME CHANGE: 20070322 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-11-21 0 0001394056 ONE STOP SYSTEMS, INC. OSS 0001729652 Ison James 2235 ENTERPRISE STREET #110 ESCONDIDO CA 92029 0 1 0 0 CPO 0 Common Stock 2023-11-21 4 F 0 849 2.09 D 108151 D Common Stock 2023-11-21 4 G 0 1651 0.00 D 106500 D Common Stock 2023-11-21 4 G 0 1651 0.00 A 162438 I By Trust The Reporting Person forfeited 849 shares of common stock upon conversion of 2,500 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the Issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on May 21, 2021. Includes 106,500 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions. On November 21, 2023, the Reporting Person transferred 1,651 shares of common stock to the James J. Ison Jr. & Sha-Marie A Ison TR UA 06 04 2020 James J. Ison Jr. & Sha-Marie A Ison Inter Vivos Revocable Trust (the "Trust"), of which the Reporting Person is trustee. The Reporting Person and members of his immediate family are the sole beneficiaries of the Trust. These shares are owned directly by the Trust, and indirectly by James Ison as trustee of the Trust. /s/ James Ison 2023-11-21