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Compass Therapeutics, Inc. — Director's Dealing 2023
Feb 9, 2023
32588_dirs_2023-02-09_30853d02-34e1-46c7-8aa3-0881525be8d4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Compass Therapeutics, Inc. (CMPX)
CIK: 0001738021
Period of Report: 2023-02-08
Reporting Person: Schuetz Thomas J. (Director, CHIEF EXECUTIVE OFFICER)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-02-08 | Common Stock | A | 500000 | — | Acquired | 5971873 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-02-08 | Stock Option (Right to Buy) | $3.93 | A | 700000 | Acquired | 2033-02-07 | CommonStock (700000) | Direct |
Footnotes
F1: Represents restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on February 8, 2024.
F2: 100,751 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 33,525 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 67,226 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 500,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.
F3: The options vest over 48 substantially equal monthly installments starting March 8, 2023.