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Compass, Inc. — Director's Dealing 2021
Apr 1, 2021
31091_dirs_2021-03-31_9d3a22e8-bc66-4db4-b7d3-dea8f634dd5f.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: Lehman Robert S. (Chief Business Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 254660 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy Class A Common Stock) | $0.80 | 2024-10-21 | Class A Common Stock (95970) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $0.80 | 2024-12-17 | Class A Common Stock (120000) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $0.80 | 2025-02-24 | Class A Common Stock (533070) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $1.79 | 2027-03-15 | Class A Common Stock (46920) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $2.67 | 2028-06-20 | Class A Common Stock (570000) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $6.44 | 2030-02-09 | Class A Common Stock (129640) | Direct | |
| Stock Option (right to buy Class A Common Stock) | $6.44 | 2030-03-31 | Class A Common Stock (550980) | Direct | |
| Restricted Stock Unit (RSU) | $ | Class A Common Stock (324110) | Direct | ||
| Restricted Stock Unit (RSU) | $ | Class A Common Stock (2830) | Direct |
Footnotes
F1: The option is fully vested and exercisable.
F2: The option vests as to 25% of the total shares on March 1, 2019 and 2.0833% of the total shares monthly thereafter, with 100% of the total shares vested and exercisable on March 1, 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 January 1, 2021, with 100% of the total shares vested and exercisable on January 1, 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 January 1, 2020, with 100% of the total shares vested and exercisable on January 1, 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.