Compass Therapeutics, Inc. — Director's Dealing 2020

Jun 24, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Compass Therapeutics, Inc. (NONE)
CIK: 0001738021
Period of Report: 2020-06-17

Reporting Person: Ferneau Philip (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2284910	Indirect
Common Stock	150280	Indirect

Footnotes

F1: These shares are held directly by Borealis Granite Fund, L.P. Borealis Capital Partners III, LLC is the general partner of Borealis Granite Fund, L.P. The Reporting Person is a member of the board of directors, and is a managing partner of Borealis Ventures. Voting and investment decisions with respect to the securities held by Borealis Granite Fund, L.P. are made by a committee of three or more individuals, none of whom individually has the power to direct such decisions. The Reporting Person disclaims beneficial ownership of the shares held by Borealis Granite Fund, L.P., except to the extent of any actual pecuniary interest.

F2: These shares are held directly by Vox Health Fund, L.P. Borealis Capital Partners IV, LLC is the general partner of Vox Health Fund, L.P. Philip Ferneau, a member of the board of directors, and a managing partner of Borealis Ventures. Mr. Ferneau holds a majority ownership interest in Borealis Capital Partners IV, LLC and is the designated manager with voting and investment power over the shares held by Vox Health Fund, L.P.