Scott R. Wahlers - Apr 4, 2023 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
Apr 4, 2023
Transactions value $
-$181,930
Form type
4
Date filed
4/6/2023, 06:14 PM
Previous filing
Mar 6, 2023
Next filing
Apr 26, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COMP Class A Common Stock Options Exercise $0 +111K +75.03% $0.00 260K Apr 4, 2023 Direct F1
transaction COMP Class A Common Stock Tax liability -$182K -56.9K -21.88% $3.20 203K Apr 4, 2023 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 -670 -9.02% $0.00 6.76K Apr 4, 2023 Class A Common Stock 670 Direct F1, F3
transaction COMP Restricted Stock Unit (RSU) Options Exercise $0 -2.7K -5% $0.00 51.3K Apr 4, 2023 Class A Common Stock 2.7K Direct F1, F4
transaction COMP Restricted Stock Unit (RSU) Options Exercise $0 -108K -25% $0.00 324K Apr 4, 2023 Class A Common Stock 108K 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 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.
F4 The RSUs vest as to 16,200 shares on April 15, 2021 and 2.0833% of the total shares monthly, with 100% of the total shares vested and exercisable on October 15, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.
F5 The RSU award vests as to 25% of the total shares on each of March 31, 2023, June 30, 2023, September 30, 2023 and December 31, 2023, subject to the reporting person's provision of service to the Issuer on each vesting date.