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Compass, Inc. — Director's Dealing 2021
Apr 1, 2021
31091_dirs_2021-03-31_d97894bc-a169-41fc-ba23-aaee5e899cb1.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Compass, Inc. (COMP)
CIK: 0001563190
Period of Report: 2021-03-31
Reporting Person: Wahlers Scott R. (Chief Accounting Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| No securities beneficially owned. | 0 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy Class A Common Stock) | $5.16 | 2029-03-27 | Class A Common Stock (243500) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $5.16 | 2029-04-16 | Class A Common Stock (32660) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $6.44 | 2030-02-09 | Class A Common Stock (32410) | Direct | |
| Restricted Stock Unit (RSU) | $ | Class A Common Stock (32410) | Direct | ||
| Restricted Stock Unit (RSU) | $ | Class A Common Stock (1450) | Direct | ||
| Restricted Stock Unit (RSU) | $ | Class A Common Stock (129640) | Direct |
Footnotes
F1: The option vests as to 25% of the total shares on August 27, 2019 and 2.0833% of the total shares monthly, with 100% of the total shares vested and exercisable on August 27, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.
F2: The option vests as to 50% of the total shares on August 27, 2020 and 2.0833% of the total shares monthly, with 100% of the total shares vested and exercisable on August 27, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.
F3: The option vests as to 2.0833% of the total shares monthly, beginning on February 10, 2020, with 100% of the total shares vested and exercisable on February 10, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.
F4: The RSUs vest as to 2.0833% of the total shares monthly, beginning on February 10, 2020, with 100% of the total shares vested and exercisable on January 25, 2024, subject to the reporting person's provision of service to the Issuer on each vesting date.
F5: Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement.
F6: The RSUs are fully vested.
F7: The RSUs vest as to 16,200 shares on April 15, 2021 and 2.0833% of the total shares monthly, with 100% of the total shares vested and exercisable on October 15, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.