Robert L. Reffkin - Sep 13, 2021 Form 4 Insider Report for Compass, Inc. (COMP)

Role: Chairman and CEO
Signature: /s/ Robert L. Reffkin
Stock symbol: COMP
Transactions as of: Sep 13, 2021
Transactions value $: $104,836,417
Form type: 4
Date filed: 9/15/2021, 08:29 PM
Next filing: Nov 1, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	COMP	Class A Common Stock	Gift	$0	+7.84M	+1027.23%	$0.00	8.6M	Aug 11, 2021	See Footnotes	F1, F2, F3
transaction	COMP	Class A Common Stock	Other	$45.7M	+3.19M	+58.97%	$14.33	8.6M	Sep 13, 2021	See Footnote	F4, F5
holding	COMP	Class A Common Stock						421K	Sep 13, 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	COMP	Class C Common Stock	Other	$59.1M	+4.13M		$14.33	4.13M	Sep 13, 2021	Class A Common Stock	4.13M		See Footnote	F6, F7
holding	COMP	Class C Common Stock						11.1M	Sep 13, 2021	Class A Common Stock	11.1M		Direct	F6

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The transactions described herein represent a series of financial planning measures adopted by the reporting person and do not entail a change in beneficial ownership.
F2	Represents (i) 7,838,870 of Class A Common Stock owned by the 2021 Reffkin Remainder Interest Trust ("RIT"), as further described in note (3) below; and (ii) 763,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust.
F3	On August 11, 2021, securities held by Compass 2015 GRAT (2,533,350 shares of Class A Common Stock) and Compass 2017 GRAT (5,305,520 share of Class A Common Stock) were transferred to the RIT.
F4	Represents (i) 4,648,000 shares of Class A Common Stock owned by the RIT, after the transfer described in note (5) below; (ii) 3,190,870 shares of Class A Common Stock owned by Reffkin Investment II Corp ("Corp II"), after the transfer described in note (5) below, and (iii) 763,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust.
F5	On September 13, 2021, the RIT transferred 3,190,870 shares of Class A Common Stock to Corp II. The RIT is the sole and controlling shareholder of Corp II. These transfers were priced at the closing price per share on the date of transfer.
F6	Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time.
F7	On September 13, 2021, the reporting person (a) contributed 4,125,000 shares of Class C Common Stock to the Robert Lee Reffkin Revocable Trust ("RRT"), and (b) RRT transferred these shares to Reffkin Investment I Corp ("Corp I"). The RRT is the sole and controlling shareholder of Corp I. The transfer to Corp I was priced at the closing price per share on the date of transfer.