Robert L. Reffkin - 13 Sep 2024 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
13 Sep 2024
Net transactions value
$0
Form type
4
Filing time
17 Sep 2024, 21:00:19 UTC
Previous filing
11 Sep 2024
Next filing
06 Nov 2024
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 Award $0 +1,000,000 $0.000000 1,000,000 13 Sep 2024 Direct F1, F2
holding COMP Class A Common Stock 7,828,116 13 Sep 2024 See Footnotes F3

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 Class C Common Stock Disposed to Issuer $0 -1,000,000 -7.9% $0.000000 11,633,787 13 Sep 2024 Class A Common Stock 1,000,000 Direct F1, F2
holding COMP Class C Common Stock 4,125,000 13 Sep 2024 Class A Common Stock 4,125,000 See footnote F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the conversion by the Reporting Person of Class C Common Stock for Class A Common Stock.
F2 Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time.
F3 Represents (i) 4,148,000 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.
F4 Shares owned by Reffkin Investment I Corp. The Robert Lee Reffkin Revocable Trust is the sole and controlling shareholder of Reffkin Investment I Corp.