Form 4 for CMPS COMPASS Pathways plc
Accepted 2023-02-03 00:00:00 ET · period of report 2022-12-20 · accession 0001816590-23-000014 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-02-03 | 2022-12-20+ | CMPS | Goldsmith George Jay | Dir, 10% | F - Tax | $9.79 | -7,878 | 4.26M | -0.2% | -$77.1K |
| DM | 2023-02-03 | 2022-12-20+ | CMPS | Goldsmith George Jay | Dir, 10% | F - Tax | $9.97 | -9,692 | 4.28M | -0.2% | -$96.6K |
| DI | 2023-02-03 | 2023-02-02 | CMPS | Goldsmith George Jay | Dir, 10% | A - Grant | $0.00 | +11.7K | 4.27M | +0.3% | $0 |
| DI | 2023-02-03 | 2023-02-02 | CMPS | Goldsmith George Jay | Dir, 10% | A - Grant | $0.00 | +67.5K | 67.5K | New | $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 | Ordinary Shares | 2022-12-20 | F | D | 4,577 | $9.20 | 4,263,620 | I By: Spouse | — | — | (F1) The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share. (F2) Represents shares withheld by the Issuer upon vesting of restricted share units to satisfy tax withholding obligations. (F3) Securities held by Dr. Ekaterina Malievskaia, the Reporting Person's spouse. Dr. Malievskaia and Mr. Goldsmith are married but they expressly disclaim beneficial ownership of each other's shares in the Issuer. |
| 2 | Common | Ordinary Shares | 2023-02-01 | F | D | 5,283 | $10.61 | 4,274,509 | D By: Spouse | — | — | (F1) The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share. (F2) Represents shares withheld by the Issuer upon vesting of restricted share units to satisfy tax withholding obligations. (F3) Securities held by Dr. Ekaterina Malievskaia, the Reporting Person's spouse. Dr. Malievskaia and Mr. Goldsmith are married but they expressly disclaim beneficial ownership of each other's shares in the Issuer. |
| 3 | Common | Ordinary Shares | 2022-12-20 | F | D | 4,409 | $9.20 | 4,279,792 | D By: Spouse | — | — | (F1) The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share. (F2) Represents shares withheld by the Issuer upon vesting of restricted share units to satisfy tax withholding obligations. (F3) Securities held by Dr. Ekaterina Malievskaia, the Reporting Person's spouse. Dr. Malievskaia and Mr. Goldsmith are married but they expressly disclaim beneficial ownership of each other's shares in the Issuer. |
| 4 | Common | Ordinary Shares | 2023-02-01 | F | D | 3,301 | $10.61 | 4,260,319 | I | — | — | (F1) The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share. (F2) Represents shares withheld by the Issuer upon vesting of restricted share units to satisfy tax withholding obligations. |
| 5 | Common | Ordinary Shares | 2023-02-02 | A | A | 11,700 | $0.00 | 4,272,019 | I | — | — | (F1) The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share. (F4) Represents an award of Restricted Share Units ("RSUs") granted under the Issuer's 2020 Share Option and Incentive Plan. Each RSU represents a contingent right to receive one Ordinary Share. The RSUs vest in four equal annual installments, with the first installment vesting on February 2, 2024. |
| 6 | Derivative | Share Option (Right to Buy) | 2023-02-02 | A | A | 67,500 | $0.00 | 67,500 | I By: Spouse | $10.85 · 2023-03-02 to 2033-02-01 | 67,500 Ordinary Shares | (F3) Securities held by Dr. Ekaterina Malievskaia, the Reporting Person's spouse. Dr. Malievskaia and Mr. Goldsmith are married but they expressly disclaim beneficial ownership of each other's shares in the Issuer. (F5) The share option shall vest in forty-eight equal monthly installments beginning on March 2, 2023. |