Compass, Inc. — Director's Dealing 2023

Dec 8, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Compass, Inc. (COMP)
CIK: 0001563190
Period of Report: 2023-12-05

Reporting Person: Reffkin Robert L. (Director, Chairman and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-12-05	Class A Common Stock	M	179410	—	Acquired	600560	Direct
2023-12-05	Class A Common Stock	F	99214	$2.56	Disposed	501346	Direct
2023-12-05	Class A Common Stock	D	80196	—	Disposed	421150	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-12-05	Restricted Stock Unit (RSU)	$	M	179410	Disposed		Class A Common Stock (179410)	Direct
2023-12-05	Class C Common Stock	$	A	80196	Acquired		Class A Common Stock (80196)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	8328116	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class C Common Stock	$		Class A Common Stock (4125000)	4125000	Indirect

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: Represents the conversion by the reporting person of Class A Common Stock for Class C Common Stock elected by the reporting person pursuant to an Equity Exchange Right Agreement with the Issuer.

F4: Represents (i) 4,648,000 shares of Class A Common Stock owned by the 2021 Reffkin Remainder Interest Trust, (ii) 3,190,870 shares of Class A Common Stock owned by the Reffkin Investment II Corp, (iii) 411,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust and (iv) 78,135 shares of Class A Common Stock owned by the Reffkin 2022 Family Trust.

F5: The RSUs vest as to 1/48th of the total shares on the 25th of each month following January 1, 2020, subject to continued service through each vesting date.

F6: Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time.

F7: Shares owned by Reffkin Investment I Corp. The Robert Lee Reffkin Revocable Trust is the sole and controlling shareholder of Reffkin Investment I Corp.