0001209191-18-006345.txt : 20180131 0001209191-18-006345.hdr.sgml : 20180131 20180131202944 ACCESSION NUMBER: 0001209191-18-006345 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180131 FILED AS OF DATE: 20180131 DATE AS OF CHANGE: 20180131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cooper Steve D CENTRAL INDEX KEY: 0001729851 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38371 FILM NUMBER: 18564345 MAIL ADDRESS: STREET 1: 2235 ENTERPRISE STREET SUITE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cooper Revocable Trust dated April 25, 2001 CENTRAL INDEX KEY: 0001729938 STATE OF INCORPORATION: XX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38371 FILM NUMBER: 18564344 BUSINESS ADDRESS: STREET 1: 2235 ENTERPRISE STREET SUITE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 BUSINESS PHONE: 7607459883 MAIL ADDRESS: STREET 1: 2235 ENTERPRISE STREET SUITE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ONE STOP SYSTEMS INC CENTRAL INDEX KEY: 0001394056 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 000000000 BUSINESS ADDRESS: STREET 1: 2235 ENTERPRISE ST SUITE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 BUSINESS PHONE: 760-745-9883 MAIL ADDRESS: STREET 1: 2235 ENTERPRISE ST SUITE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-01-31 0 0001394056 ONE STOP SYSTEMS INC OSS 0001729851 Cooper Steve D 2235 ENTERPRISE STREET #110 ESCONDIDO CA 92029 1 1 1 0 President, CEO 0001729938 Cooper Revocable Trust dated April 25, 2001 2235 ENTERPRISE STREET #110 ESCONDIDO CA 92029 0 0 0 1 Trustee Common Stock 2988116 I By trust Employee Stock Option (right to buy) 1.10 2018-03-31 Common Stock 100000 D Employee Stock Option (right to buy) 0.825 2019-05-13 Common Stock 100000 D Employee Stock Option (right to buy) 0.76 2021-12-06 Common Stock 200000 D Employee Stock Option (right to buy) 0.836 2022-01-17 Common Stock 100000 D Employee Stock Option (right to buy) 0.46 2024-07-15 Common Stock 180000 D Employee Stock Option (right to buy) 1.08 2026-04-01 Common Stock 90000 D Employee Stock Option (right to buy) 1.95 2027-04-17 Common Stock 45000 D 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. The option is fully vested. The option is exercisable as it vests. 1/3 of the shares subject to the option vested on April 2, 2017, and 1/12th of the total number of shares subject to the option vest quarterly thereafter, subject to the reporting person's continued service to the issuer through each such vesting date. The option is exercisable as it vests. 1/3 of the shares subject to the option will vest on April 18, 2018, and 1/12th of the total number of shares subject to the option vest quarterly thereafter, subject to the reporting person's continued service to the issuer through each such vesting date. /s/ Steve Cooper 2018-01-31 Steve Cooper, Trustee 2018-01-31