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Compass, Inc. — Director's Dealing 2022
Nov 7, 2022
31091_dirs_2022-11-07_606a2ef9-ddb2-4119-be97-9bc170cf8dd0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Compass, Inc. (COMP)
CIK: 0001563190
Period of Report: 2022-11-03
Reporting Person: Wilkie Danielle J. (President, Customer Success)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-11-03 | Class A Common Stock | M | 9092 | — | Acquired | 9696 | Direct |
| 2022-11-03 | Class A Common Stock | F | 2628 | $2.25 | Disposed | 7068 | Direct |
| 2022-11-07 | Class A Common Stock | S | 6464 | $2.1489 | Disposed | 604 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-11-03 | Restricted Stock Unit (RSU) | $ | M | 1560 | Disposed | Class A Common Stock (1560.0) | Direct | |
| 2022-11-03 | Restricted Stock Unit (RSU) | $ | M | 7532 | Disposed | Class A Common Stock (7532.0) | Direct |
Footnotes
F1: Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement.
F2: Represents shares withheld by Issuer to satisfy tax withholding obligations on the vesting of RSUs.
F3: Automatic sales pursuant to a Rule 10b5-1 plan adopted by the reporting person on May 27, 2022.
F4: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.03 to $2.265 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The RSUs vest as to 2.0833% of the total shares monthly, beginning on November 15, 2020, with 100% of the total shares vested on November 15, 2024, subject to the reporting person's provision of service to the Issuer on each vesting date.
F6: The RSUs vest as to 6.25% of the total shares quarterly, commencing on April 15, 2022, with 100% of the shares vested on January 15, 2026, subject to continued service through each vesting date.