Robert L. Reffkin - 03 Aug 2023 Form 4 Insider Report for Compass, Inc. (COMP)

Role: Chairman and CEO, Director
Signature: /s/ Bradley K. Serwin, as attorney-in-fact
Issuer symbol: COMP
Transactions as of: 03 Aug 2023
Net transactions value: -$431,581
Form type: 4
Filing time: 04 Aug 2023, 17:51:39 UTC
Previous filing: 07 Jul 2023
Next filing: 06 Sep 2023
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	$0	+179,410	+43%	$0.000000	600,560	03 Aug 2023	Direct	F1
transaction	COMP	Class A Common Stock	Tax liability	$431,581	-99,214	-17%	$4.35	501,346	03 Aug 2023	Direct	F2
transaction	COMP	Class A Common Stock	Disposed to Issuer	$0	-80,196	-16%	$0.000000	421,150	03 Aug 2023	Direct	F3
holding	COMP	Class A Common Stock						8,328,116	03 Aug 2023	See Footnotes	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	-179,410	-17%	$0.000000	897,070	03 Aug 2023	Class A Common Stock	179,410		Direct	F1, F5
transaction	COMP	Class C Common Stock	Award	$0	+80,196	+0.54%	$0.000000	14,814,356	03 Aug 2023	Class A Common Stock	80,196		Direct	F3, F6
holding	COMP	Class C Common Stock						4,125,000	03 Aug 2023	Class A Common Stock	4,125,000		See footnote	F6, F7

* 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 the conversion by the reporting person of Class A Common Stock for Class C Common Stock elected by the reporting person pursuant to an Equity Exchange Right Agreement with the Issuer.
F4	Represents (i) 4,648,000 shares of Class A Common Stock owned by the 2021 Reffkin Remainder Interest Trust, (ii) 3,190,870 shares of Class A Common Stock owned by the Reffkin Investment II Corp, (iii) 411,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust and (iv) 78,135 shares of Class A Common Stock owned by the Reffkin 2022 Family Trust.
F5	The RSUs vest as to 1/48th of the total shares on the 25th of each month following January 1, 2020, subject to continued service through each vesting date.
F6	Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time.
F7	Shares owned by Reffkin Investment I Corp. The Robert Lee Reffkin Revocable Trust is the sole and controlling shareholder of Reffkin Investment I Corp.