0001171843-23-001588.txt : 20230310 0001171843-23-001588.hdr.sgml : 20230310 20230310133451 ACCESSION NUMBER: 0001171843-23-001588 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230310 FILED AS OF DATE: 20230310 DATE AS OF CHANGE: 20230310 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schuetz Thomas J. CENTRAL INDEX KEY: 0001591464 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39696 FILM NUMBER: 23722942 MAIL ADDRESS: STREET 1: C/O RELYPSA, INC. STREET 2: 700 SAGINAW DR. CITY: REDWOOD CITY STATE: CA ZIP: 94063 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 2023-03-10 0 0001738021 Compass Therapeutics, Inc. CMPX 0001591464 Schuetz Thomas J. C/O COMPASS THERAPEUTICS, INC. 80 GUEST ST., SUITE 601 BOSTON MA 02135 1 1 0 0 CHIEF EXECUTIVE OFFICER Common Stock 2023-03-10 4 P 0 10000 3.37 A 6021873 D The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $3.30 to $3.40 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above. 89,051 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 27,937 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 61,114 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 500,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022. /s/ Thomas J. Schuetz 2023-03-10