Dixon Doll - Dec 27, 2021 Form 4 Insider Report for CompoSecure, Inc. (CMPO)

Role
10%+ Owner
Signature
/s/ Dixon Doll, Jr.
Stock symbol
CMPO
Transactions as of
Dec 27, 2021
Transactions value $
$30,116
Form type
4
Date filed
1/7/2022, 03:33 PM
Previous filing
May 10, 2021
Next filing
Aug 18, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CMPO Class A Common Stock Options Exercise $0 +5.79M $0.00 5.79M Dec 27, 2021 See footnote F1, F2
transaction CMPO Class A Common Stock Purchase $9.78K +1.3K $7.52 1.3K Jan 5, 2022 By daughter F3
transaction CMPO Class A Common Stock Purchase $10.2K +1.35K $7.54 1.35K Jan 5, 2022 By son F3
transaction CMPO Class A Common Stock Purchase $10.2K +1.33K $7.64 1.33K Jan 5, 2022 By daughter's trust F4
holding CMPO Class A Common Stock 100 Dec 27, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CMPO Class B Common Stock Options Exercise -5.79M -100% 0 Dec 27, 2021 Class A Common Stock 5.79M See footnote F1, F2
transaction CMPO Warrants Award +10.8M 10.8M Dec 27, 2021 Class A Common Stock 10.8M $11.50 See footnote F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On December 27, 2021, Roman DBDR Tech Acquisition Corp. closed the previously announced business combination with CompoSecure Holdings, L.L.C. (the "Business Combination") pursuant to which CompoSecure, Inc. became a publicly-traded company (the "Company"). As a result of the Business Combination, each outstanding share of Class B Common Stock converted automatically on a one-for-one basis into shares of Class A Common Stock.
F2 As a managing member of Roman DBDR Tech Sponsor LLC (the "Sponsor"), the reporting person may be deemed to share beneficial ownership of the shares of Class A Common Stock held directly by the Sponsor, and disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
F3 The reporting person purchased shares of Class A Common Stock on the open market for accounts for the benefit of his son and daughter. Since the reporting person's son and daughter are dependent children, the reporting person may be deemed to share beneficial ownership of the shares of Class A common stock held directly by them as a result of his pecuniary interest therein. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
F4 The reporting person purchased shares of Class A Common Stock on the open market for a trust account for the benefit of his daughter who is a dependent of the reporting person. As trustee of his daughter's trust, the reporting person may be deemed to share beneficial ownership of the shares of Class A common stock held directly by the trust. As the beneficiary of the trust is a dependent of the reporting person's household, the reporting person may be deemed to have a pecuniary interest in the shares held thereby. The reporting person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
F5 Pursuant to the terms of the Company's warrants to purchase shares of Class A Common Stock, upon completion of the Business Combination, the warrants became exercisable beginning 30 days thereafter.
F6 As a managing member of the Sponsor, the reporting person may be deemed to share beneficial ownership of the warrants held directly by the Sponsor, and disclaims any beneficial ownership of the reported warrants other than to the extent of any pecuniary interest he may have therein, directly or indirectly.