0001563190-23-000069.txt : 20230406 0001563190-23-000069.hdr.sgml : 20230406 20230406181452 ACCESSION NUMBER: 0001563190-23-000069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230404 FILED AS OF DATE: 20230406 DATE AS OF CHANGE: 20230406 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: 23807382 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 wf-form4_168081928247843.xml FORM 4 X0407 4 2023-04-04 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 2023-04-04 4 M 0 179410 0 A 600560 D Class A Common Stock 2023-04-04 4 F 0 99214 3.20 D 501346 D Class A Common Stock 2023-04-04 4 D 0 80196 0 D 421150 D Class A Common Stock 8328116 I See Footnotes Restricted Stock Unit (RSU) 2023-04-04 4 M 0 179410 0 D Class A Common Stock 179410.0 1614720 D Class C Common Stock 2023-04-04 4 A 0 80196 0 A Class A Common Stock 80196.0 14493568 D Class C Common Stock Class A Common Stock 4125000.0 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, provided, however the Reporting Person is not subject to an involuntary termination (as further defined in the Reporting Person's award agreement) within 12 months after the effectiveness of the Issuer's IPO. 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 2023-04-06