Anand Mehta - 28 Oct 2021 Form 4 Insider Report for Compass, Inc. (COMP)

Role
Chief People Officer
Signature
/s/ Bradley K. Serwin, as attorney-in-fact
Issuer symbol
COMP
Transactions as of
28 Oct 2021
Net transactions value
-$423,436
Form type
4
Filing time
01 Nov 2021, 18:38:50 UTC
Previous filing
29 Sep 2021
Next filing
07 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COMP Class A Common Stock Award $0 +89,580 $0.000000 89,580 28 Oct 2021 Direct F1
transaction COMP Class A Common Stock Tax liability $423,436 -32,850 -37% $12.89 56,730 28 Oct 2021 Direct F2
holding COMP Class A Common Stock 40,000 28 Oct 2021 See footnote F3

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 Restricted Stock Unit (RSU) Disposed to Issuer $0 -64,820 -25% $0.000000 194,460 28 Oct 2021 Class A Common Stock 64,820 Direct F1, F4
transaction COMP Restricted Stock Unit (RSU) Disposed to Issuer $0 -20,260 -63% $0.000000 12,150 28 Oct 2021 Class A Common Stock 20,260 Direct F1, F5
transaction COMP Restricted Stock Unit (RSU) Disposed to Issuer $0 -4,500 -12% $0.000000 31,517 28 Oct 2021 Class A Common Stock 4,500 Direct F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement.
F2 Represents shares withheld by Issuer to satisfy tax withholding obligations on the vesting of RSUs.
F3 Represents 40,000 shares of Class A Common Stock held of record by Ursidae Family Trust.
F4 The RSUs vest 20% of the total shares on July 22, 2021 and 1.6667% monthly thereafter, with 100% of the total shares vested on July 22, 2025, subject to continued service through each vesting date.
F5 The RSUs vest as to 50% of the total shares on July 22, 2021 and 4.1666% monthly thereafter, with 100% of the total shares vested on July 22, 2022, subject to the reporting person's provision of service to the Issuer on each vesting date.
F6 The RSUs vest as to 4.1666% of the total shares on a monthly basis starting August 21, 2021, with 100% of the total shares vested on July 21, 2023, subject to the reporting person's provision of service to the Issuer on each vesting date.