Filing Details

Accession Number:
0001171843-23-001588
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-03-10 13:34:51
Reporting Period:
2023-03-10
Accepted Time:
2023-03-10 13:34:51
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1738021 Compass Therapeutics Inc. CMPX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1591464 J. Thomas Schuetz C/O Compass Therapeutics, Inc.
80 Guest St., Suite 601
Boston MA 02135
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2023-03-10 10,000 $3.37 6,021,873 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Footnotes
  1. 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.
  2. 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.