Robert L. Reffkin - Oct 3, 2023 Form 4 Insider Report for Compass, Inc. (COMP)

Role: Chairman and CEO, Director
Signature: /s/ Bradley K. Serwin, as attorney-in-fact
Stock symbol: COMP
Transactions as of: Oct 3, 2023
Transactions value $: -$257,972
Form type: 4
Date filed: 10/5/2023, 05:30 PM
Previous filing: Sep 6, 2023
Next filing: Nov 7, 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	+179K	+42.6%	$0.00	601K	Oct 3, 2023	Direct	F1
transaction	COMP	Class A Common Stock	Tax liability	-$258K	-99.2K	-16.52%	$2.60	501K	Oct 3, 2023	Direct	F2
transaction	COMP	Class A Common Stock	Disposed to Issuer	$0	-80.2K	-16%	$0.00	421K	Oct 3, 2023	Direct	F3
holding	COMP	Class A Common Stock						8.33M	Oct 3, 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	-179K	-25%	$0.00	538K	Oct 3, 2023	Class A Common Stock	179K		Direct	F1, F5
transaction	COMP	Class C Common Stock	Award	$0	+80.2K	+0.54%	$0.00	15M	Oct 3, 2023	Class A Common Stock	80.2K		Direct	F3, F6
holding	COMP	Class C Common Stock						4.13M	Oct 3, 2023	Class A Common Stock	4.13M		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.