0001563190-23-000176.txt : 20230804
0001563190-23-000176.hdr.sgml : 20230804
20230804175139
ACCESSION NUMBER: 0001563190-23-000176
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230803
FILED AS OF DATE: 20230804
DATE AS OF CHANGE: 20230804
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: 231145162
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_1691185889.xml
FORM 4
X0508
4
2023-08-03
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
2023-08-03
4
M
0
179410
0
A
600560
D
Class A Common Stock
2023-08-03
4
F
0
99214
4.35
D
501346
D
Class A Common Stock
2023-08-03
4
D
0
80196
0
D
421150
D
Class A Common Stock
8328116
I
See Footnotes
Restricted Stock Unit (RSU)
2023-08-03
4
M
0
179410
0
D
Class A Common Stock
179410
897070
D
Class C Common Stock
2023-08-03
4
A
0
80196
0
A
Class A Common Stock
80196
14814356
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
2023-08-04