Form 4 for COMP Compass, Inc.
Accepted 2022-03-07 00:00:00 ET · period of report 2022-03-03 · accession 0001209191-22-016748 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-03-07 | 2022-03-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | D - Sale to Iss | — | -100.1K | 421.1K | -19% | — |
| D | 2022-03-07 | 2022-03-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | M - OptEx | — | +179.4K | 600.6K | +43% | — |
| D | 2022-03-07 | 2022-03-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | F - Tax | $7.46 | -79.3K | 521.2K | -13% | -$591.9K |
| D | 2022-03-07 | 2022-03-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | A - Grant | — | +100.1K | 13.55M | +0.7% | — |
| D | 2022-03-07 | 2022-03-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | M - OptEx | $0.00 | -179.4K | 3.95M | -4% | $0 |
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 | 2022-03-03 | D | D | 100,080 | — | 421,150 | D | — | — | (F3) Represents the conversion by the reporting person of Class A Common Stock for Class C Common Stock elected by the reporting person pursuant to an Equity Exchange Right Agreement with the Issuer. |
| 2 | Common | Class A Common Stock | 2022-03-03 | M | A | 179,420 | — | 600,570 | D | — | — | (F1) Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement. |
| 3 | Common | Class A Common Stock | 2022-03-03 | F | D | 79,340 | $7.46 | 521,230 | D | — | — | |
| 4 | Derivative | Class C Common Stock | 2022-03-03 | A | A | 100,080 | — | 13,545,859 | D | — · — to — | 100,080 Class A Common Stock | (F3) Represents the conversion by the reporting person of Class A Common Stock for Class C Common Stock elected by the reporting person pursuant to an Equity Exchange Right Agreement with the Issuer. (F6) Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time. |
| 5 | Derivative | Restricted Stock Unit (RSU) | 2022-03-03 | M | D | 179,420 | $0.00 | 3,947,080 | D | — · — to — | 179,420 Class A Common Stock | (F5) The RSUs vest as to 1/48th of the total shares on the 25th of each month following January 1, 2020, subject to continued service through each vesting date, provided, however the Reporting Person is not subject to an involuntary termination (as further defined in the Reporting Person's award agreement) within 12 months after the effectiveness of the Issuer's IPO. (F1) Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement. |