Form 4 for COMP Compass, Inc.
Accepted 2022-07-08 00:00:00 ET · period of report 2022-07-06 · accession 0001563190-22-000085 · 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 | 2022-07-08 | 2022-07-06 | COMP | Reffkin Robert L. | COB, CEO, Dir | D - Sale to Iss | $0.00 | -101.3K | 421.1K | -19% | $0 |
| D | 2022-07-08 | 2022-07-06 | COMP | Reffkin Robert L. | COB, CEO, Dir | F - Tax | $4.38 | -78.1K | 522.5K | -13% | -$342.0K |
| D | 2022-07-08 | 2022-07-06 | COMP | Reffkin Robert L. | COB, CEO, Dir | M - OptEx | $0.00 | +179.4K | 600.6K | +43% | $0 |
| DI | 2022-07-08 | 2022-06-14 | COMP | Reffkin Robert L. | COB, CEO, Dir | G - Gift | $0.00 | +78.1K | 8.33M | +0.9% | $0 |
| D | 2022-07-08 | 2022-07-06 | COMP | Reffkin Robert L. | COB, CEO, Dir | M - OptEx | $0.00 | -179.4K | 3.23M | -5% | $0 |
| D | 2022-07-08 | 2022-06-14 | COMP | Reffkin Robert L. | COB, CEO, Dir | G - Gift | $0.00 | -78.1K | 13.58M | -0.6% | $0 |
| D | 2022-07-08 | 2022-07-06 | COMP | Reffkin Robert L. | COB, CEO, Dir | A - Grant | $0.00 | +101.3K | 13.69M | +0.7% | $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 | 2022-07-06 | D | D | 101,336 | $0.00 | 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 | 2022-07-06 | F | D | 78,084 | $4.38 | 522,486 | D | — | — | |
| 3 | Common | Class A Common Stock | 2022-07-06 | M | A | 179,420 | $0.00 | 600,570 | D See Footnotes | — | — | (F1) Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement. (F5) Represents (i) 4,648,000 shares of Class A Common Stock owned by the 2021 Reffkin Remainder Interest Trust, (ii) 3,190,870 shares of Class A Common Stock owned by the Reffkin Investment II Corp, (iii) 411,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust and (iv) 78,135 shares of Class A Common Stock owned by the Reffkin 2022 Family Trust. |
| 4 | Common | Class A Common Stock | 2022-06-14 | G | A | 78,135 | $0.00 | 8,328,116 | I | — | — | |
| 5 | Derivative | Restricted Stock Unit (RSU) | 2022-07-06 | M | D | 179,420 | $0.00 | 3,229,430 | D | — · — to — | 179,420 Class A Common Stock | (F1) Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement. (F7) 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. |
| 6 | Derivative | Class C Common Stock | 2022-06-14 | G | D | 78,135 | $0.00 | 13,584,861 | D | — · — to — | 78,135 Class A Common Stock | (F6) Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time. |
| 7 | Derivative | Class C Common Stock | 2022-07-06 | A | A | 101,336 | $0.00 | 13,686,197 | D | — · — to — | 101,336 Class A Common Stock | (F6) Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time. |