0001563190-24-000150.txt : 20240827 0001563190-24-000150.hdr.sgml : 20240827 20240827210056 ACCESSION NUMBER: 0001563190-24-000150 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240823 FILED AS OF DATE: 20240827 DATE AS OF CHANGE: 20240827 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reffkin Robert L. CENTRAL INDEX KEY: 0001847178 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40291 FILM NUMBER: 241250765 MAIL ADDRESS: STREET 1: C/O COMPASS, INC. STREET 2: 110 FIFTH AVE, 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Compass, Inc. CENTRAL INDEX KEY: 0001563190 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] ORGANIZATION NAME: 06 Technology IRS NUMBER: 300751604 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 110 FIFTH AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 212-913-9058 MAIL ADDRESS: STREET 1: 110 FIFTH AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 FORMER COMPANY: FORMER CONFORMED NAME: Urban Compass, Inc. DATE OF NAME CHANGE: 20121128 4 1 wk-form4_1724806849.xml FORM 4 X0508 4 2024-08-23 0 0001563190 Compass, Inc. COMP 0001847178 Reffkin Robert L. C/O COMPASS, INC. 110 FIFTH AVENUE, 4TH FLOOR NEW YORK NY 10011 1 1 0 0 Chairman and CEO 1 Class A Common Stock 2024-08-23 4 S 0 814302 4.9128 D 0 D Class A Common Stock 2024-08-26 4 A 0 1000000 0 A 1000000 D Class A Common Stock 2024-08-26 4 S 0 55698 5.9065 D 944302 D Class A Common Stock 7828116 I See Footnotes Class C Common Stock 2024-08-26 4 D 0 1000000 0 D Class A Common Stock 1000000 12633787 D Class C Common Stock Class A Common Stock 4125000 4125000 I See footnote Automatic sales by the Reporting Person pursuant to a Rule 10b5-1 plan adopted on May 10, 2024. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.90 to $4.96 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Represents the conversion by the Reporting Person of Class C Common Stock for Class A Common Stock. Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.90 to $5.915 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Represents (i) 4,148,000 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. 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 2024-08-27