Form 4 for COMP Compass, Inc.
Accepted 2021-09-15 00:00:00 ET · period of report 2021-09-13 · accession 0001209191-21-056269 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-09-15 | 2021-08-11 | COMP | Reffkin Robert L. | COB, CEO | G - Gift | $0.00 | +7.84M | 8.60M | +1,027% | $0 |
| DI | 2021-09-15 | 2021-09-13 | COMP | Reffkin Robert L. | COB, CEO | J - Other | $14.33 | +3.19M | 8.60M | +59% | +$45.73M |
| DI | 2021-09-15 | 2021-09-13 | COMP | Reffkin Robert L. | COB, CEO | J - Other | $14.33 | +4.12M | 4.12M | New | +$59.11M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-08-11 | G | A | 7,838,870 | $0.00 | 8,601,981 | I See Footnotes | — | — | (F1) The transactions described herein represent a series of financial planning measures adopted by the reporting person and do not entail a change in beneficial ownership. (F2) Represents (i) 7,838,870 of Class A Common Stock owned by the 2021 Reffkin Remainder Interest Trust ("RIT"), as further described in note (3) below; and (ii) 763,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust. (F3) On August 11, 2021, securities held by Compass 2015 GRAT (2,533,350 shares of Class A Common Stock) and Compass 2017 GRAT (5,305,520 share of Class A Common Stock) were transferred to the RIT. |
| 2 | Common | Class A Common Stock | 2021-09-13 | J | A | 3,190,870 | $14.33 | 8,601,981 | I See Footnote | — | — | (F4) Represents (i) 4,648,000 shares of Class A Common Stock owned by the RIT, after the transfer described in note (5) below; (ii) 3,190,870 shares of Class A Common Stock owned by Reffkin Investment II Corp ("Corp II"), after the transfer described in note (5) below, and (iii) 763,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust. (F5) On September 13, 2021, the RIT transferred 3,190,870 shares of Class A Common Stock to Corp II. The RIT is the sole and controlling shareholder of Corp II. These transfers were priced at the closing price per share on the date of transfer. |
| 3 | Derivative | Class C Common Stock | 2021-09-13 | J | A | 4,125,000 | $14.33 | 4,125,000 | I See Footnote | — · — to — | 4,125,000 Class A Common Stock | (F7) On September 13, 2021, the reporting person (a) contributed 4,125,000 shares of Class C Common Stock to the Robert Lee Reffkin Revocable Trust ("RRT"), and (b) RRT transferred these shares to Reffkin Investment I Corp ("Corp I"). The RRT is the sole and controlling shareholder of Corp I. The transfer to Corp I was priced at the closing price per share on the date of transfer. (F6) Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time. |