0001209191-19-050728.txt : 20190925 0001209191-19-050728.hdr.sgml : 20190925 20190925181016 ACCESSION NUMBER: 0001209191-19-050728 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190920 FILED AS OF DATE: 20190925 DATE AS OF CHANGE: 20190925 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38371 FILM NUMBER: 191115137 BUSINESS ADDRESS: STREET 1: 2235 ENTERPRISE STREET STE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 BUSINESS PHONE: 7607459883 MAIL ADDRESS: STREET 1: 2235 ENTERPRISE STREET STE 110 CITY: ESCONDIDO STATE: CA ZIP: 92029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cooper Steve D CENTRAL INDEX KEY: 0001729851 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38371 FILM NUMBER: 191115138 MAIL ADDRESS: STREET 1: 2235 ENTERPRISE ST STE 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: 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 X0306 4 2019-09-20 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 SUITE 110 ESCONDIDO CA 92029 0 0 1 0 Common Stock 2019-09-20 4 F 0 1967 2.68 A 2990080 I By Trust Restricted Stock Unit 2019-09-20 4 M 0 2500 0.00 D Common Stock 2500 15000 I By Trust Represents a "net stock issuance" of vested and outstanding Restricted Stock Units. The reporting person received 1,967 shares of common stock on the net stock issuance of 2,500 shares of common stock. The reporting person forfeited 533 shares of common stock underlying the vested and outstanding Restricted Stock Units to cover tax withholdings, using the closing stock price on September 19, 2019 of $2.68. 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. Restricted stock units convert into common stock on a one-for-one basis. Prior to the Initial Vesting Date, the Vested Ratio shall be zero. On the Initial Vesting Date, the Vested Ratio shall be 1/12, provided the Grantee's service has not been terminated prior to the Initial Vesting Date. For each quarter of Grantee service from the Initial Vesting Date until the Vested Ratio equals 1/1, the Vested Ratio shall be increased by 1/12. This Restricted Stock Unit will be fully vested after three (3) years of service. /s/Steve Cooper 2019-09-25 /s/Steve Cooper, Trustee 2019-09-25