George Jay Goldsmith - Dec 13, 2023 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
Stock symbol
CMPS
Transactions as of
Dec 13, 2023
Transactions value $
-$66,146
Form type
4
Date filed
12/15/2023, 06:00 PM
Previous filing
Nov 2, 2023
Next filing
Jan 4, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CMPS Ordinary Shares Sale -$22.3K -2.86K -0.07% $7.82 4.27M Dec 13, 2023 Direct F1, F2
transaction CMPS Ordinary Shares Sale -$22.3K -2.86K -0.07% $7.82 4.26M Dec 13, 2023 By: Spouse F1, F3, F4
transaction CMPS Ordinary Shares Sale -$10.8K -1.38K -0.03% $7.81 4.27M Dec 14, 2023 Direct F1, F2
transaction CMPS Ordinary Shares Sale -$10.8K -1.38K -0.03% $7.81 4.26M Dec 14, 2023 By: Spouse F1, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

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 The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Mr. Goldsmith on August 23, 2023.
F3 The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Dr. Malievskaia on August 23, 2023.
F4 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.