Robert S. Lehman - 29 Nov 2021 Form 4 Insider Report for Compass, Inc. (COMP)

Role
Chief Business Officer
Signature
/s/ Bradley K. Serwin, as attorney-in-fact
Issuer symbol
COMP
Transactions as of
29 Nov 2021
Net transactions value
-$1,075,690
Form type
4
Filing time
01 Dec 2021, 16:07:40 UTC
Previous filing
05 Nov 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 Options Exercise $101,600 +127,000 +39% $0.8000* 455,485 29 Nov 2021 Direct
transaction COMP Class A Common Stock Sale $1,177,290 -127,000 -28% $9.27 328,485 29 Nov 2021 Direct F1, 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 Stock Option (right to buy Class A Common Stock) Options Exercise $0 -95,970 -100% $0.000000* 0 29 Nov 2021 Class A Common Stock 95,970 $0.8000 Direct F3
transaction COMP Stock Option (right to buy Class A Common Stock) Options Exercise $0 -31,030 -26% $0.000000 88,970 29 Nov 2021 Class A Common Stock 31,030 $0.8000 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Sale pursuant to a 10(b)5-1 plan adopted by the reporting person on September 7, 2021.
F2 The price reported in Column 4 is the weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.03 to $9.51 per share, inclusive. The reporting person undertakes to provide to Compass, Inc., any security holder of Compass, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
F3 The option is fully vested and exercisable.