OSS: Form 144 notice to sell 5,000 shares

OSS submitted a Rule 144 notice regarding 5,000 shares of Common Stock tied to restricted stock vesting under a registered plan.

Rhea-AI Filing Summary

OSS submitted a Rule 144 notice regarding 5,000 shares of Common Stock tied to restricted stock vesting under a registered plan. The securities vested on 05/21/2026 and the Form 144 was filed on 05/26/2026 through Morgan Stanley Smith Barney LLC.

Insights

Securities Compliance Counsel

Routine Rule 144 notice for vested restricted shares; procedural, not a market action.

Rule 144 notices report proposed sales by affiliates or holders of restricted stock once resale conditions are met. This filing lists 5,000 common shares that vested on 05/21/2026 and names Morgan Stanley Smith Barney LLC as the broker.

Cash‑flow treatment and planned sale timing are not stated; subsequent Form 4s or broker reports would disclose actual dispositions if executed.

Key Figures

Filed shares: 5,000 shares Vesting date: 05/21/2026 Filing date: 05/26/2026 +1 more

4 metrics

Filed shares 5,000 shares Common Stock reported on Form 144

Vesting date 05/21/2026 Restricted stock vesting under a registered plan

Filing date 05/26/2026 Form 144 submission date

Broker Morgan Stanley Smith Barney LLC Broker handling proposed resale

Key Terms

Rule 144, restricted stock vesting, registered plan

3 terms

Rule 144 regulatory

"Restricted stock vesting under a registered plan; Form 144 notice"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

restricted stock vesting financial

"Restricted stock vesting under a registered plan"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

registered plan regulatory

"Restricted stock vesting under a registered plan"

A registered plan is a savings or investment account that a government recognizes for special tax treatment and rules, such as limits on how much you can put in and conditions for withdrawals. For investors it matters because those rules change how much of your gains are taxed, how quickly your money can be accessed and what strategies make sense — like a labeled jar that gives tax breaks but comes with rules about when and how you can take the money out.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does OSS's Form 144 filing report?

It reports a Rule 144 notice for 5,000 common shares that vested under a registered plan on 05/21/2026. The filing was submitted via Morgan Stanley Smith Barney LLC on 05/26/2026 as a brokered notice.

Does the Form 144 mean OSS sold shares?

No; it notifies intent to sell under Rule 144 for vested restricted shares. The filing lists 5,000 shares vested on 05/21/2026. Actual sale execution and proceeds are not disclosed in this notice.

Who is the broker listed on the OSS Form 144?

The broker named is Morgan Stanley Smith Barney LLC, located at 1 New York Plaza, New York. The Form 144 shows the broker handling the proposed resale activity for the 5,000 vested shares.

When did the restricted shares vest for OSS?

The restricted Common Stock shares vested on 05/21/2026 under a registered plan. The Form 144 filing reflecting that vesting was submitted on 05/26/2026 via the listed broker.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/26/2026 - 04:59 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001644289
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	ONE STOP SYSTEMS, INC.
SEC File Number	001-38371
Address of Issuer	2235 ENTERPRISE ST STE 110 ESCONDIDO CALIFORNIA 92029
Phone	760-745-9883
Name of Person for Whose Account the Securities are To Be Sold	MITCHELL HERBETS
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	5000	88125.00	24769017	05/26/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/21/2026	Restricted stock vesting under a registered plan	Issuer			5000	05/21/2026	Services Rendered

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/26/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Mitchell H Herbets
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)