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