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Filing Details

Accession Number:: 0000947871-21-001151
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-08 21:12:14
Reporting Period:: 2021-11-04

Accepted Time:: 2021-11-08 21:12:14
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1738021	Compass Therapeutics Inc.	CMPX	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1282930	L Carl Gordon	C/O Compass Therapeutics, Inc. 80 Guest Street, Suite 601 Boston MA 02135		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-11-04	1,785,715	$3.50	14,500,119	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2021-11-04	3,571,428	$3.50	3,571,428	No	4	P	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes

Footnotes

These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.
These shares of the Issuer's common stock are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. OrbiMed Advisors and GP V exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA. The Reporting Person is a member of OrbiMed Advisors.
These shares of the Issuer's common stock are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis Master Fund"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis Master Fund and OrbiMed Advisors is the managing member of Genesis GP. OrbiMed Advisors and Genesis GP exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by Genesis Master Fund.
Each of the Reporting Person, OrbiMed Advisors, GP V, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.