Filing Details
- Accession Number:
- 0001563190-23-000200
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-10-04 18:16:28
- Reporting Period:
- 2023-10-02
- Accepted Time:
- 2023-10-04 18:16:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1563190 | Compass Inc. | COMP | Services-Computer Programming Services (7371) | 300751604 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1847374 | M. Gregory Hart | C/O Compass, Inc. 90 Fifth Avenue Nyc NY 10011 | Chief Operating Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2023-10-02 | 24,604 | $2.82 | 750,065 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2023-10-03 | 282,513 | $0.00 | 1,032,578 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2023-10-03 | 111,171 | $2.60 | 921,407 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Restricted Stock Unit (RSU) | Disposition | 2023-10-03 | 17,290 | $0.00 | 17,290 | $0.00 |
| Class A Common Stock | Restricted Stock Unit (RSU) | Disposition | 2023-10-03 | 101,359 | $0.00 | 101,359 | $0.00 |
| Class A Common Stock | Restricted Stock Unit (RSU) | Disposition | 2023-10-03 | 152,039 | $0.00 | 152,039 | $0.00 |
| Class A Common Stock | Restricted Stock Unit (RSU) | Disposition | 2023-10-03 | 11,825 | $0.00 | 11,825 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 328,430 | No | 4 | M | Direct | ||
| 202,720 | No | 4 | M | Direct | ||
| 304,079 | No | 4 | M | Direct | ||
| 23,651 | No | 4 | M | Direct |
Footnotes
- Automatic sales pursuant to a Rule 10b5-1 plan adopted by the reporting person on May 12, 2023.
- The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $2.79 to $2.88 per share, inclusive. The reporting person undertakes to provide to Compass, Inc., any security holder of Compass, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement.
- Represents shares withheld by Issuer to satisfy tax withholding obligations on the vesting of RSUs.
- The RSUs vest as to 20% of the total shares on April 13, 2021 and 1.667% monthly thereafter, with 100% of the shares vested on April 13, 2025, subject to continued service through each vesting date.
- The RSUs vest as to 25% of the total shares on each of June 15, 2023, September 15, 2023, December 15, 2023 and March 15, 2024, subject to the reporting person's provision of service to the Issuer on each vesting date.
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