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Ownership Document |
Schema Version: X0508 |
Document Type: 4 |
Period of Report: 4/1/24 |
Not Subject to Section 16: 0 |
Issuer: |
| Issuer CIK: 1394056 |
| Issuer Name: ONE STOP SYSTEMS, INC. |
| Issuer Trading Symbol: OSS |
Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1211644 |
| | Owner Name: POTASHNER KENNETH F |
| Reporting Owner Address: |
| | Owner Street 1: 2235 ENTERPRISE STREET #110 |
| | Owner Street 2: |
| | Owner City: ESCONDIDO |
| | Owner State: CA |
| | Owner ZIP Code: 92029 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? No |
| | Is Ten Percent Owner? No |
| | Is Other? No |
Aff 10b5 One: 0 |
Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 4/1/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: M |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 19,767 |
| | | Transaction Price Per Share: |
| Value: 2.15 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 337,601 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Warrant (right to buy) |
| | Conversion or Exercise Price: |
| | | Value: 2.15 |
| | Transaction Date: |
| | | Value: 4/1/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: M |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 19,767 |
| | | Transaction Price Per Share: |
| Value: 0.00 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Exercise Date: |
| | | Value: 4/4/19 |
| | Expiration Date: |
| | | Value: 4/4/24 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 19,767 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 0 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: By Kenco, Inc |
| Footnote ID: F1 |
Footnotes: |
| Footnote - F1: The Warrant is held directly by Kenco, Inc., and indirectly by Ken Potashner. Mr. Potashner has sole voting and investment control over Kenco, Inc. |
Remarks: |
Owner Signature: |
| Signature Name: /s/ Kenneth Potashner |
| Signature Date: 4/3/24 |