Danielle J. Wilkie - Nov 3, 2022 Form 4 Insider Report for Compass, Inc. (COMP)

Role
President, Customer Success
Signature
/s/ Bradley K. Serwin, as attorney-in-fact
Stock symbol
COMP
Transactions as of
Nov 3, 2022
Transactions value $
-$19,803
Form type
4
Date filed
11/7/2022, 04:58 PM
Previous filing
Oct 7, 2022
Next filing
Dec 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COMP Class A Common Stock Options Exercise $0 +9.09K +1505.3% $0.00 9.7K Nov 3, 2022 Direct F1
transaction COMP Class A Common Stock Tax liability -$5.91K -2.63K -27.1% $2.25 7.07K Nov 3, 2022 Direct F2
transaction COMP Class A Common Stock Sale -$13.9K -6.46K -91.45% $2.15 604 Nov 7, 2022 Direct F3, F4

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 -1.56K -3.84% $0.00 39.1K Nov 3, 2022 Class A Common Stock 1.56K Direct F1, F5
transaction COMP Restricted Stock Unit (RSU) Options Exercise $0 -7.53K -7.14% $0.00 97.9K Nov 3, 2022 Class A Common Stock 7.53K 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 Automatic sales pursuant to a Rule 10b5-1 plan adopted by the reporting person on May 27, 2022.
F4 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.03 to $2.265 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.
F5 The RSUs vest as to 2.0833% of the total shares monthly, beginning on November 15, 2020, with 100% of the total shares vested on November 15, 2024, subject to the reporting person's provision of service to the Issuer on each vesting date.
F6 The RSUs vest as to 6.25% of the total shares quarterly, commencing on April 15, 2022, with 100% of the shares vested on January 15, 2026, subject to continued service through each vesting date.