0001563190-23-000166.txt : 20230707 0001563190-23-000166.hdr.sgml : 20230707 20230707195344 ACCESSION NUMBER: 0001563190-23-000166 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230706 FILED AS OF DATE: 20230707 DATE AS OF CHANGE: 20230707 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reffkin Robert L. CENTRAL INDEX KEY: 0001847178 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40291 FILM NUMBER: 231078028 MAIL ADDRESS: STREET 1: C/O COMPASS, INC. STREET 2: 155 AVENUE OF THE AMERICAS, SIXTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Compass, Inc. CENTRAL INDEX KEY: 0001563190 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 300751604 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 155 AVENUE OF THE AMERICAS STREET 2: SIXTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 917-841-5555 MAIL ADDRESS: STREET 1: 155 AVENUE OF THE AMERICAS STREET 2: SIXTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 FORMER COMPANY: FORMER CONFORMED NAME: Urban Compass, Inc. DATE OF NAME CHANGE: 20121128 4 1 wk-form4_1688774015.xml FORM 4 X0407 4 2023-07-06 0 0001563190 Compass, Inc. COMP 0001847178 Reffkin Robert L. C/O COMPASS, INC. 90 FIFTH AVENUE NYC NY 10011 1 1 0 0 Chairman and CEO 0 Class A Common Stock 2023-07-06 4 M 0 179410 0 A 600560 D Class A Common Stock 2023-07-06 4 F 0 99214 3.23 D 501346 D Class A Common Stock 2023-07-06 4 D 0 80196 0 D 421150 D Class A Common Stock 8328116 I See Footnotes Restricted Stock Unit (RSU) 2023-07-06 4 M 0 179410 0 D Class A Common Stock 179410 1076480 D Class C Common Stock 2023-07-06 4 A 0 80196 0 A Class A Common Stock 80196 14734160 D Class C Common Stock Class A Common Stock 4125000 4125000 I See footnote Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement. Represents shares withheld by Issuer to satisfy tax withholding obligations on the vesting of RSUs. 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. 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. 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. Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time. Shares owned by Reffkin Investment I Corp. The Robert Lee Reffkin Revocable Trust is the sole and controlling shareholder of Reffkin Investment I Corp. /s/ Bradley K. Serwin, as attorney-in-fact 2023-07-07