Scott R. Wahlers - Oct 28, 2021 Form 4 Insider Report for Compass, Inc. (COMP)

Role
Chief Accounting Officer
Signature
/s/ Bradley K. Serwin, as attorney-in-fact
Stock symbol
COMP
Transactions as of
Oct 28, 2021
Transactions value $
-$232,781
Form type
4
Date filed
11/1/2021, 07:11 PM
Next filing
Nov 5, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COMP Class A Common Stock Options Exercise $0 +47.4K $0.00 47.4K Oct 28, 2021 Direct F1
transaction COMP Class A Common Stock Tax liability -$233K -18.1K -38.13% $12.89 29.3K Oct 28, 2021 Direct F2

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) Options Exercise $0 -1.45K -100% $0.00* 0 Oct 28, 2021 Class A Common Stock 1.45K Direct F1, F3
transaction COMP Restricted Stock Unit (RSU) Options Exercise $0 -13.5K -41.65% $0.00 18.9K Oct 28, 2021 Class A Common Stock 13.5K Direct F1, F4
transaction COMP Restricted Stock Unit (RSU) Options Exercise $0 -32.4K -25% $0.00 97.2K Oct 28, 2021 Class A Common Stock 32.4K Direct F1, F5
* 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 The RSUs are fully vested.
F4 The RSUs vest as to 2.0833% of the total shares monthly, beginning on February 10, 2020, with 100% of the total shares vested on January 25, 2024, subject to the reporting person's provision of service to the Issuer on each vesting date.
F5 The RSUs vest as to 16,200 shares on April 15, 2020 and 2.0833% of the total shares monthly, with 100% of the total shares vested on October 15, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.