George Jay Goldsmith - 20 Dec 2022 Form 4 Insider Report for COMPASS Pathways plc (CMPS)

Role
Director, 10%+ Owner
Signature
/s/ Meredith Prithviraj by Power-of-Attorney for George Jay Goldsmith
Issuer symbol
CMPS
Transactions as of
20 Dec 2022
Net transactions value
-$173,747
Form type
4
Filing time
03 Feb 2023, 15:24:14 UTC
Previous filing
19 Apr 2022
Next filing
04 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CMPS Ordinary Shares Tax liability $40,563 -4,409 -0.1% $9.20 4,279,792 20 Dec 2022 Direct F1, F2
transaction CMPS Ordinary Shares Tax liability $56,053 -5,283 -0.12% $10.61 4,274,509 01 Feb 2023 Direct F1, F2
transaction CMPS Ordinary Shares Tax liability $42,108 -4,577 -0.11% $9.20 4,263,620 20 Dec 2022 By: Spouse F1, F2, F3
transaction CMPS Ordinary Shares Tax liability $35,024 -3,301 -0.08% $10.61 4,260,319 01 Feb 2023 By: Spouse F1, F2, F3
transaction CMPS Ordinary Shares Award $0 +11,700 +0.27% $0.000000 4,272,019 02 Feb 2023 By: Spouse F1, F3, 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 CMPS Share Option (Right to Buy) Award $0 +67,500 $0.000000 67,500 02 Feb 2023 Ordinary Shares 67,500 $10.85 By: Spouse F3, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.
F2 Represents shares withheld by the Issuer upon vesting of restricted share units to satisfy tax withholding obligations.
F3 Securities held by Dr. Ekaterina Malievskaia, the Reporting Person's spouse. Dr. Malievskaia and Mr. Goldsmith are married but they expressly disclaim beneficial ownership of each other's shares in the Issuer.
F4 Represents an award of Restricted Share Units ("RSUs") granted under the Issuer's 2020 Share Option and Incentive Plan. Each RSU represents a contingent right to receive one Ordinary Share. The RSUs vest in four equal annual installments, with the first installment vesting on February 2, 2024.
F5 The share option shall vest in forty-eight equal monthly installments beginning on March 2, 2023.

Remarks:

EXHIBIT LIST: EX-24 George Jay Goldsmith - POA