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One Stop Systems (OSS) CFO forfeits shares to cover RSU taxes

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

ONE STOP SYSTEMS, INC. Chief Financial Officer Daniel G. Gabel reported a routine tax-related share forfeiture. On conversion of 5,000 vested restricted stock units into common stock, he forfeited 1,613 shares at $15.68 per share to cover tax withholdings.

After this non-market disposition, he directly holds 153,896 shares of common stock and 127,762 unvested restricted stock units that remain subject to vesting conditions. The filing reflects compensation and tax mechanics rather than an open-market purchase or sale.

Positive

  • None.

Negative

  • None.
Insider Gabel Daniel G.
Role Chief Financial Officer
Type Security Shares Price Value
Tax Withholding Common Stock 1,613 $15.68 $25K
Holdings After Transaction: Common Stock — 153,896 shares (Direct)
Footnotes (1)
  1. The Reporting Person forfeited 1,613 shares of common stock upon conversion of an aggregate 5,000 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 November 11, 2024. Includes 127,762 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.
Shares forfeited for taxes 1,613 shares Forfeited to cover tax withholdings on RSU conversion
Forfeiture price $15.68 per share Market price used for tax-withholding forfeiture
RSUs converted 5,000 restricted stock units Vested RSUs converted into common stock
Shares held after transaction 153,896 shares Common stock directly held following forfeiture
Unvested RSUs outstanding 127,762 units Unvested restricted stock units subject to vesting
restricted stock units financial
"The Reporting Person forfeited 1,613 shares of common stock upon conversion of an aggregate 5,000 vested and outstanding restricted stock units into shares of common stock"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
tax withholdings financial
"into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture"
vested financial
"conversion of an aggregate 5,000 vested and outstanding restricted stock units into shares of common stock"
unvested restricted stock units financial
"Includes 127,762 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions"
Form 4 regulatory
"part of the grant reported in Table I of the Form 4 filed by the Reporting Person"
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
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Form 4 Insider Transactions: What Each Field Means →

FAQ

What insider transaction did OSS CFO Daniel G. Gabel report on this Form 4?
Daniel G. Gabel reported forfeiting 1,613 shares of ONE STOP SYSTEMS common stock to satisfy tax withholdings. The shares were forfeited when 5,000 vested restricted stock units converted into common stock as part of his equity compensation.

Was the OSS CFO’s Form 4 transaction an open-market sale of shares?
No, the Form 4 shows a tax-withholding disposition, not an open-market sale. Shares were forfeited back to cover tax obligations triggered by conversion of vested restricted stock units into common stock under his compensation plan.

How many OSS shares does CFO Daniel G. Gabel hold after this reported transaction?
Following the tax-withholding forfeiture, Daniel G. Gabel directly holds 153,896 shares of ONE STOP SYSTEMS common stock. This reflects his position after 1,613 shares were delivered to cover taxes on the restricted stock unit conversion.

What is the size of the restricted stock unit conversion reported by OSS’s CFO?
The filing notes that 5,000 vested and outstanding restricted stock units converted into shares of ONE STOP SYSTEMS common stock. As part of this conversion, 1,613 shares were forfeited at the market price solely to satisfy tax withholding obligations.

How many unvested restricted stock units does the OSS CFO still have outstanding?
The Form 4 footnotes state that Daniel G. Gabel holds 127,762 unvested restricted stock units. All of these unvested units remain subject to specified vesting conditions before they can convert into shares of ONE STOP SYSTEMS common stock.

What does transaction code “F” mean in the OSS CFO’s Form 4 filing?
Transaction code “F” indicates payment of a tax liability or exercise price using securities. In this case, 1,613 ONE STOP SYSTEMS shares were forfeited to cover tax withholdings tied to the conversion of vested restricted stock units into common stock.
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Gabel Daniel G.
(Last)(First)(Middle)
2235 ENTERPRISE STREET #110
(Street)
ESCONDIDO CALIFORNIA 92029
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ONE STOP SYSTEMS, INC. [ OSS ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/11/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock05/11/2026F1,613(1)D$15.68153,896(2)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. The Reporting Person forfeited 1,613 shares of common stock upon conversion of an aggregate 5,000 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 November 11, 2024.
2. Includes 127,762 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.
/s/ Daniel G. Gabel05/27/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR