Joseph Sirosh - Oct 28, 2021 Form 4 Insider Report for Compass, Inc. (COMP)

Role: Chief Technology Officer
Signature: /s/ Bradley K. Serwin, as attorney-in-fact
Stock symbol: COMP
Transactions as of: Oct 28, 2021
Transactions value $: -$1,360,165
Form type: 4
Date filed: 11/1/2021, 06:51 PM
Next filing: Nov 5, 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	COMP	Class A Common Stock	Options Exercise		+318K	+168%		507K	Oct 28, 2021	Direct	F1
transaction	COMP	Class A Common Stock	Tax liability	-$1.88M	-146K	-28.73%	$12.89	361K	Oct 28, 2021	Direct	F2
transaction	COMP	Class A Common Stock	Options Exercise	$516K	+100K	+27.69%	$5.16	461K	Oct 28, 2021	Direct
holding	COMP	Class A Common Stock						50	Oct 28, 2021	See footnote	F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	COMP	Restricted Stock Unit (RSU)	Options Exercise	$0	-313K	-68.75%	$0.00	142K	Oct 28, 2021	Class A Common Stock	313K		Direct	F1, F4
transaction	COMP	Restricted Stock Unit (RSU	Options Exercise	$0	-4.55K	-100%	$0.00^*	0	Oct 28, 2021	Class A Common Stock	4.55K		Direct	F1, F5
transaction	COMP	Stock Option (right to buy Class A Common Stock)	Options Exercise	$0	-100K	-31%	$0.00	223K	Oct 28, 2021	Class A Common Stock	100K	$5.16	Direct	F6

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
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 50 shares of Class A Common Stock held by Mr. Sirosh's son, who currently resides in Mr. Sirosh's household.
F4	The RSUs vest as to 25% of the total shares on December 4, 2019 and 2.0833% of the total shares on the 25th of every month thereafter, with 100% of the total shares vested on December 25, 2022, subject to the reporting person's provision of service to the Issuer on each vesting date.
F5	The RSUs are fully vested.
F6	The option vests as to 25% of the total shares on December 4, 2019 and 2.0833% of the total shares monthly thereafter, with 100% of the total shares vested and exercisable on December 4, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.