0000947871-22-000539.txt : 20220510 0000947871-22-000539.hdr.sgml : 20220510 20220510181912 ACCESSION NUMBER: 0000947871-22-000539 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220506 FILED AS OF DATE: 20220510 DATE AS OF CHANGE: 20220510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GORDON CARL L CENTRAL INDEX KEY: 0001282930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39696 FILM NUMBER: 22911418 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Compass Therapeutics, Inc. CENTRAL INDEX KEY: 0001738021 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 80 GUEST STREET CITY: BOSTON STATE: MA ZIP: 02135 BUSINESS PHONE: 617-500-8099 MAIL ADDRESS: STREET 1: 80 GUEST STREET CITY: BOSTON STATE: MA ZIP: 02135 FORMER COMPANY: FORMER CONFORMED NAME: Olivia Ventures, Inc. DATE OF NAME CHANGE: 20180419 4 1 ownership.xml X0306 4 2022-05-06 0 0001738021 Compass Therapeutics, Inc. CMPX 0001282930 GORDON CARL L C/O COMPASS THERAPEUTICS, INC. 80 GUEST STREET, SUITE 601 BOSTON MA 02135 1 0 1 0 Common Stock 2022-05-06 4 P 0 10200 1.63 A 14510319 I See Footnotes Common Stock 2022-05-09 4 P 0 90712 1.56 A 14601031 I See Footnotes Common Stock 2022-05-10 4 P 0 24447 1.60 A 14625478 I See Footnotes Common Stock 3571428 I See Footnotes These shares of the Issuer's common stock ("Shares") were purchased in a block at a price of $1.63. These Shares were purchased in a block at a price of $1.56. These Shares were purchased in a block at a price of $1.60. The Shares are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V-KA. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA. The Shares are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis Master Fund"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis Master Fund and OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by Genesis Master Fund. OrbiMed Advisors exercises investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by Genesis Master Fund. Each of the Reporting Person, GP V, OrbiMed Advisors, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, GP V, OrbiMed Advisors, or Genesis GP is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. /s/ Carl Gordon 2022-05-10