SEC Form SC 13G/A filed by One Stop Systems Inc. (Amendment)

2/14/22 1:12:39 PM ET

Computer Manufacturing

Technology

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SC 13G/A 1 r13g123121oss.txt ONE STOP SYSTEMS, INC. ________________________________________ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___________)* One Stop Systems ________________________________________ (Name of Issuer) Common Stock ________________________________________ (Title of Class of Securities) 68247W109 ________________________________________ (CUSIP Number) December 31, 2021 ________________________________________ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ x] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 68247W109 ________________________________________ ----------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Bard Associates, Inc. 36-3452497 ------------------------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) / / -------------------------------------------------------------------------------- 3. SEC Use Only -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Illinois -------------------------------------------------------------------------------- Number of 5. Sole Voting Power Shares Beneficially 72,399 Owned by --------------------------------------------- Each Reporting 6. Shared Voting Power Person with 0 --------------------------------------------- 7. Sole Dispositive Power 989,075 --------------------------------------------- 8. Shared Dispositive Power 0 --------------------------------------------- ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 989,075 ---------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / ----------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 5.3% ----------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IA ----------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer One Stop Systems ----------------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 2235 Enterprise Street, #110 Escondido, CA 92029 ------------------------------------------------------------------------------ ITEM 2. (a) Name of Person Filing Bard Associates, Inc. ----------------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 135 South LaSalle Street, Suite 3700 Chicago, IL 60603 ----------------------------------------------------------------------------- (c) Citizenship United States ----------------------------------------------------------------------------- (d) Title of Class of Securities Common Stock ------------------------------------------------------------------------------ (e) CUSIP Number 68247W109 ------------------------------------------------------------------------------ ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) or 240.13d-2(b) or (c), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or dealer registered under section 15 of The Act (15 U.S.C. 78o). (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) / / Insurance company as deined in section 3(a)(19) Of the Act (15. U.S.C. 78c). (d) / / Investment company registered under section 8 of The Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) / x / An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) / / An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) / / A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(1)(ii)(G); (h) / / A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) / / A church plan that is excluded from the definition of an Investment company under section 3(c)(14) of the Investment Company Act of 1940 (15. U.S.C. 80a-3); (j) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). ------------------------------------------------------- ITEM 4. OWNERSHIP The information reported below in the Item 4(a) is as of December 31, 2021, consisting of 989,075 shares. The percentage set forth in Item 4(b) is calculated based on the 18,666,022 shares of the Issuer's Common Stock outstanding as reported in the Issuer's 10-Q for the period September 30, 2021 (filed November 10, 2021). (a) Amount beneficially owned: 989,075 (b) Percent of Class 5.3% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 72,399 ---------------------------------------------------- (ii) Shared power to vote or to direct the vote 0 ------------------------------------------------------ (iii) Sole power to dispose or to direct the disposition of 989,075 ------------------------------------------------ (iv) Shared power to dispose or to direct the disposition of 0 --------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof The reporting person has ceased to be the beneficial owner of more than five Percent of the class of securities, check the following / /. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP ITEM 9. NOTICE OF DISSOLUTION OF GROUP ITEM 10.CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 14,2022 ------------------------------------------- Date /s/ Timothy B. Johnson ---------------------------------------------- Signature Timothy B. Johnson/ President ----------------------------------------------------- Name/Title

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Date

Price Target

Rating

Analyst

11/6/2024

$3.25 → $4.50

Neutral → Buy

Alliance Global Partners

8/11/2023

$2.75

Buy → Neutral

Alliance Global Partners

8/16/2021

$8.00

Buy

The Benchmark Company

8/13/2021

$8.00 → $8.50

Buy

Roth Capital

7/7/2021

$8.00

Buy

Lake Street

SEC Form SC 13G/A filed by One Stop Systems Inc. (Amendment)

2/14/22 1:12:39 PM ET

$OSS

Computer Manufacturing

Technology

Get the next $OSS alert in real time by email

Date

Price Target

Rating

Analyst

11/6/2024

$3.25 → $4.50

Neutral → Buy

Alliance Global Partners

8/11/2023

$2.75

Buy → Neutral

Alliance Global Partners

8/16/2021

$8.00

Buy

The Benchmark Company

8/13/2021

$8.00 → $8.50

Buy

Roth Capital

7/7/2021

$8.00

Buy

Lake Street

SEC Form SC 13G/A filed by One Stop Systems Inc. (Amendment)

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Recent Analyst Ratings for
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SEC Form SC 13G/A filed by One Stop Systems Inc. (Amendment)

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Insider Trading

Chief Financial Officer Gabel Daniel G. covered exercise/tax liability with 1,613 shares, decreasing direct ownership by 1% to 153,896 units (SEC Form 4) (for tax liability)

Director Bassett David George was granted 32,984 shares and sold $141,120 worth of shares (8,000 units at $17.64) (SEC Form 4) (withholding obligation)

Director Matz Gregory W was granted 11,984 shares and sold $140,160 worth of shares (8,000 units at $17.52), increasing direct ownership by 5% to 78,914 units (SEC Form 4) (for withholding tax)

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Insider Purchases

Director Manko Joseph M. Jr. bought $146,750 worth of shares (75,000 units at $1.96) (SEC Form 4)

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SEC Filings

One Stop Systems Inc. filed SEC Form 8-K: Leadership Update, Submission of Matters to a Vote of Security Holders, Financial Statements and Exhibits

SEC Form 10-Q filed by One Stop Systems Inc.

One Stop Systems Inc. filed SEC Form 8-K: Regulation FD Disclosure

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Analyst Ratings

One Stop Systems upgraded by Alliance Global Partners with a new price target

One Stop Systems downgraded by Alliance Global Partners with a new price target

The Benchmark Company resumed coverage on One Stop Systems with a new price target

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Press Releases

Defiance Launches OSSL: The First 2X Leveraged ETF on One Stop Systems, Inc.

One Stop Systems to Attend Special Operations Forces Week on May 19 - 21

One Stop Systems Reports Q1 2026 Results

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Leadership Updates

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Large Ownership Changes