Form 4 for COMP Compass, Inc.
Accepted 2023-10-05 00:00:00 ET · period of report 2023-10-03 · accession 0001563190-23-000212 · 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 | 2023-10-05 | 2023-10-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | F - Tax | $2.60 | -99.2K | 501.4K | -17% | -$258.0K |
| D | 2023-10-05 | 2023-10-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | M - OptEx | $0.00 | +179.4K | 600.6K | +43% | $0 |
| D | 2023-10-05 | 2023-10-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | D - Sale to Iss | $0.00 | -80.2K | 421.1K | -16% | $0 |
| D | 2023-10-05 | 2023-10-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | A - Grant | $0.00 | +80.2K | 14.97M | +0.5% | $0 |
| D | 2023-10-05 | 2023-10-03 | COMP | Reffkin Robert L. | COB, CEO, Dir | M - OptEx | $0.00 | -179.4K | 538.2K | -25% | $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 | 2023-10-03 | F | D | 99,220 | $2.60 | 501,350 | D | — | — | |
| 2 | Common | Class A Common Stock | 2023-10-03 | M | A | 179,420 | $0.00 | 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 | 2023-10-03 | D | D | 80,200 | $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. |
| 4 | Derivative | Class C Common Stock | 2023-10-03 | A | A | 80,200 | $0.00 | 14,974,752 | D | — · — to — | 80,200 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) | 2023-10-03 | M | D | 179,420 | $0.00 | 538,240 | 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. (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. |