Bradley K. Serwin - Oct 3, 2023 Form 4 Insider Report for Compass, Inc. (COMP)

Role
General Counsel and Secretary
Signature
/s/ Bradley K. Serwin
Stock symbol
COMP
Transactions as of
Oct 3, 2023
Transactions value $
-$71,391
Form type
4
Date filed
10/5/2023, 05:30 PM
Previous filing
Jul 7, 2023
Next filing
Jan 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COMP Class A Common Stock Options Exercise $0 +79.4K +41.3% $0.00 272K Oct 3, 2023 Direct F1
transaction COMP Class A Common Stock Tax liability -$71.4K -27.5K -10.11% $2.60 244K Oct 3, 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 -33.8K -33.33% $0.00 67.6K Oct 3, 2023 Class A Common Stock 33.8K Direct F1, F3
transaction COMP Restricted Stock Unit (RSU) Options Exercise $0 -33.8K -33.33% $0.00 67.6K Oct 3, 2023 Class A Common Stock 33.8K Direct F1, F3
transaction COMP Restricted Stock Unit (RSU) Options Exercise $0 -11.8K -33.33% $0.00 23.7K Oct 3, 2023 Class A Common Stock 11.8K Direct F1, F3
* 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 25% of the total shares on each of June 15, 2023, September 15, 2023, December 15, 2023 and March 15, 2024, subject to the reporting person's provision of service to the Issuer on each vesting date.